Minutes of the Board of Regents of Stephen F. Austin State University. 2011, Volume No. 266

Stephen F. Austin
State University
MINUTES OF THE
BOARD OF REGENTS
Nacogdoches, Texas
January 24 and 25, 2011
Meeting 266
TABLE OF CONTENTS
BOARD MINUTES FOR JANUARY 24 AND 25, 2011
MEETING 266
Page
APPROVAL OF MINUTES
Approval of Minutes from Board Meetings on October 17 and 18, 2010; December 17,
2010 and January 14, 2011 ..................................................................................................3
Board Order 11-08
PERSONNEL
Faculty Appointments for 2010-2011..................................................................................3
Board Order 11-09
Staff Appointments for 2010-2011 ......................................................................................4
Changes of Status for 2010-2011.........................................................................................5
Retirements ......................................................................................................................6
BUILDING AND GROUNDS
Campus Master Plan Request for Qualifications .................................................................6
Board Order 11-10
Operational Restoration Services.........................................................................................6
Naming of Gayla Mize Garden............................................................................................7
Board Order 11-11
FINANCIAL AFFAIRS
Approval of the Fiscal Year 2009-2010 Annual Financial Report ......................................8
Board Order 11-12
Approval of the SFA Charter School Fiscal Year 2009-2010
Annual Financial Report ......................................................................................................8
Resolution to Acknowledge Review of Investment Policy and Strategy ............................8
Resolution to Approve Qualified Financial Institutions and Investment Brokers...............9
Grant Awards 10..................................................................................................................9
State Appropriation Reduction ............................................................................................9
UNIVERSITY POLICIES AND PROCEDURES
Policy Revisions.................................................................................................................10
Board Order 11-13
Assignment of University Policies to Committees of the Board .......................................10
Board Order 11-14
REPORTS
President
Audit Services Report
Faculty Senate
Student Government Association
APPENDICES
Appendix 1 – Resolution to Acknowledge Review of Investment Policy and Strategy
Appendix 2 – Resolution to Approve Qualified Financial Institutions and
Investment Brokers
Appendix 3 – Grant Awards
Appendix 4 – Policy Revisions
Academic Chair/Director Appointment (E-6A)
Academic Space for Non-Academic Activities (B-2)
Austin Building Conference Rooms (B-3)
Best Value Procurement (C-7)
Budget Change and Additional Appropriation (C-4)
Central Receiving (F-6)
Compensation Plan for Classified and Non-Classified Staff (E-68)
Faculty Development leaves (E-23A)
Fair Labor Standards (E-70)
Grants and Contracts Administration (A-56)
Guarantees Relating to Matters Other Than Termination (E-26A)
Instructor-generated Materials (A-22.1)
Insurance and Other Benefits (E-28)
Investments (C-41)
Investments-Endowment Funds (C-41A)
Items Requiring Board of Regents Approval (D-20.5)
New Employee Orientation (E-33.1)
Part-time Faculty (E-37A)
Performance Evaluation of Tenured Faculty (A-37.1)
Personnel Action Request (E-39)
Prompt Payment to Vendors and Employees (C-25.1)
Proprietary Purchases (C-26)
Purchase of Electronic and Information Resources (C-62)
Purchase of Surplus Property (C-28)
Retirement Programs (E-43)
Safe and Vault Combinations (D-29)
Semester Grades (A-54)
Student Employment (F-26)
Student Media (D-44)
Student Service Fee Allocations (F-28)
Student Travel (D-48)
Teacher Preparation (A-6)
University Awards Programs (A-66)
Working Hours and Holidays (D-40)
Appendix 5 – Gayla Mize Garden
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Stephen F. Austin State University
Minutes of the Meeting of the Board of Regents
Nacogdoches, Texas
January 24 and 25, 2011
Austin Building 307
Meeting 266
Monday, January 24, 2011
The regular meeting of the Board of Regents was called to order in open session at 9:00
a.m. Monday, January 24, 2011, in the Austin Building Board Room by Chair Melvin
White.
PRESENT:
Board Members: Mr. Melvin White, Chair
Mr. Carlos Amaral
Mr. Richard Boyer
Dr. Scott Coleman
Mr. James Dickerson
Ms. Valerie Ertz
Mr. Bob Garrett
Ms. Sydni Mitchell
Mr. Steve McCarty
President: Dr. Baker Pattillo
Vice-Presidents: Dr. Richard Berry
Mr. Danny Gallant
Mr. Steve Westbrook
General Counsel: Mr. Damon Derrick
Other SFA administrators, staff, and visitors
Regent James Thompson joined the meeting at 1:40 p.m.
The Building and Grounds Committee convened at 9:05 a.m. and adjourned at 10:00
a.m. The Finance and Audit Committee convened at 10:20 a.m. and adjourned at 11:30
a.m. The Academic and Student Affairs Committee convened at 1:40 p.m. and adjourned
at 3:28 p.m.
The chair called for an executive session at 3:45 p.m. to consider the following items:
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Deliberations Regarding the Purchase, Exchange, Lease, Sale or Value of Real Property
(Texas Government Code, Section 551.072)
• Possible Real Estate Purchase
Consultation with Attorney Regarding Legal Advice or Pending and/or Contemplated
Litigation or Settlement Offers, including but not limited to, In Re: Dr. and Mrs. J.E.
Watkins Scholarship Trust, HIPAA and federal immigration law compliance and/or
issues (Texas Government Code, Section 551.071)
Consideration of Individual Personnel Matters Relating to Appointment, Employment,
Evaluation, Assignment, Duties, Discipline, or Dismissal of an Officer or Employee,
including but not limited to football coaches, vice presidents and the president (Texas
Government Code, Section 551.074)
Deliberations Regarding Negotiated Contracts for Prospective Gifts or Donations (Texas
Government Code, Section 551.073)
• Possible Naming Opportunity
The executive session ended at 7:15 p.m. and the board meeting was recessed for the
evening with no further action.
Tuesday, January 25, 2011
The chair reconvened the board meeting in open session at 9:00 a.m. on Tuesday, January
25, 2011.
PRESENT:
Board Members: Mr. Melvin White, Chair
Mr. Carlos Amaral
Mr. Richard Boyer
Dr. Scott Coleman
Mr. James Dickerson
Ms. Valerie Ertz
Mr. Bob Garrett
Ms. Sydni Mitchell
Mr. Steve McCarty
Mr. James Thompson
President: Dr. Baker Pattillo
Vice-Presidents: Dr. Richard Berry
Mr. Danny Gallant
Mr. Steve Westbrook
General Counsel: Mr. Damon Derrick
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Other SFA administrators, staff, and visitors
Regent Boyer led the pledge to the flags and Regent McCarty provided the invocation.
The Finance and Audit Committee reconvened and agreed to recommend Agenda Item
15, State Appropriation Reduction, for approval to the full board.
Reconvening in a committee of the whole, the board provided special recognitions.
RECOGNITIONS
Danny Gallant introduced the HR Axcess Implementation Team; Ric Berry introduced
students from the Rose Bruford College in England and finalists from the National
Association of Teachers of Singing in the Texoma Region. Robert Hill introduced the
2010 Lumberjack Football Team.
APPROVAL OF MINUTES
BOARD ORDER 11-08
Upon motion by Regent Coleman, seconded by Regent McCarty, with all members
voting aye, it was ordered that the minutes of the October 17 and 18, 2010, regular
meeting of the Board of Regents and the December 17, 2010, and January 14, 2011,
special meetings of the Board of Regents be approved as presented.
PERSONNEL
BOARD ORDER 11-09
Upon motion by Regent Dickerson, seconded by Regent Boyer, with all members voting
aye, it was ordered that the following personnel items be approved.
FACULTY APPOINTMENTS FOR 2010 – 2011
CHEMISTRY
Darrell Fry, Assistant Professor of Chemistry, Ph.D. (University of Arkansas), at
an academic year of $55,000 for 100 percent time, effective September 1, 2011.
GOVERNMENT
Wendi Pollock, Assistant Professor of Government, Ph.D. (Sam Houston State
University), at an academic year salary of $46,000 for 100 percent time, effective
September 1, 2011.
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LIBRARY
Kyle Ainsworth, Special Collections Librarian II, MLIS (University of Southern
Missisissippi), at an annual salary of $45,000 for 100 percent time, effective
January 3, 2011.
Gregory Bailey, Librarian I, MLS (Indiana University), at an annual salary of
$40,950 for 100 percent time, effective January 17, 2011.
STAFF APPOINTMENTS FOR 2010 – 2011
ATHLETICS
Kurt Corbin, Assistant Football Coach, at a 10.5 month salary of $58,000 for 100
percent time, effective February 1, 2011.
James Fredenburg, Assistant Football Coach, at a 10.5 month salary of $30,720
for 100 percent time, effective February 1, 2011.
David Gibbs, Assistant Football Coach, at a 10.5 month salary of $82,139 for 100
percent time, effective February 1, 2011.
James C. Harper, Head Football Coach, at an annual salary of $142,000 for 100
percent time, effective February 1, 2011.
Brandon North, Assistant Football Coach, at a 10.5 month salary of $32,000 for
100 percent time, effective February 1, 2011.
Michael Nesbitt, Assistant Football Coach, at a 10.5 month salary of $76,000 for
100 percent time, effective February 1, 2011.
Arlington Nunn, Assistant Head Football Coach, at a 10.5 month salary of
$71,843 for 100 percent time, effective February 1, 2011.
Todd Schonhar, Assistant Football Coach, at a 10.5 month salary of $65,460 for
100 percent time, effective February 1, 2011.
Bruce Erik Slaughter, Assistant Football Coach, at a 10.5 month salary of $58,000
for 100 percent time, effective February 1, 2011.
Harold Christopher Truax, Assistant Football Coach, at a 10.5 month salary of
$72,176 for 100 percent time, effective February 1, 2011.
Jacob Willingham, Assistant Football Coach, at a 10.5 month salary of $32,000
for 100 percent time, effective February 1, 2011.
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CENTER FOR REGIONAL HERITAGE RESEARCH
Angela Ford, Grant Specialist, at an annual salary of $40,300 for 100 percent
time, effective November 29, 2010.
FORESTRY
Jason Grogan, Temple Research Specialist, at an annual salary of $46,000 for 100
percent time, effective December 1, 2010.
PHYSICAL PLANT
Allen Singleton, Coordinator of Building Management System, at an annual
salary of $50,000 for 100 percent time, effective October 11, 2010.
RESIDENCE LIFE
Bridgit Breslow, Area Coordinator, at an annual salary of $32,000 for 100 percent
time, effective November 15, 2010.
STUDENT CENTER
Ralph LaRue, Associate Director for Student Center, at an annual salary of
$53,000 for 100 percent time, effective October 25, 2010.
UNIVERSITY POLICE DEPARTMENT
Jane Wilcox, Director of Parking, at an annual salary of $65,000 for 100 percent
time, effective January 1, 2011.
CHANGES OF STATUS FOR 2010 – 2011
LIBERAL AND APPLIED ARTS
Luis Aguerrevere, from Instructor of Psychology at an academic year salary of
$43,000 for 100 percent time, to Assistant Professor of Psychology at an
academic year salary of $46,000 for 100 percent time effective January 1, 2011.
SCIENCES AND MATHEMATICS
Linda Boozer, from Administrative Assistant at an annual salary of $37,720 for
100 percent time, to Stem Center Coordinator at an annual salary of $48,000 for
100 percent time, effective December 1, 2010.
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Robin Sullivan, from Adjunct Faculty at an academic year salary of $17,000 for
100 percent time, to Lecturer of Mathematics and Statistics at an academic year
salary of $38,500 for 100 percent time, effective January 19, 2011.
PUBLIC AFFAIRS
Roni Lias, from Webmaster for Academic Affairs at an annual salary of $42,435
for 100 percent time, to Web Developer/Designer for Public Affairs at an annual
salary of $38,000 for 100 percent time, effective November 15, 2010.
RETIREMENTS
The following retirements were accepted:
Ronnie Barra, Professor of Kinesiology, effective December 17, 2010.
Philip Blackburn, Scientific Equipment Specialist, effective January 31, 2011.
Melane McCuller, Instructional Media Specialist, effective September 30, 2010.
Mary Beth Smith, Associate Director of Admissions, effective February 4, 2011.
BUILDING AND GROUNDS
BOARD ORDER 11-10
Upon motion by Regent Dickerson, seconded by Regent Boyer, with all members voting
aye, it was ordered that the following building and grounds items be approved.
CAMPUS MASTER PLAN REQUEST FOR QUALIFICATIONS
WHEREAS, the Board of Regents considered the following: The university has completed
many project initiatives in the current campus master plan. It is time to begin the process
of developing a new campus master plan. The university would like to submit a request
for qualifications (RFQ) to solicit proposals from firms who engage in infrastructure
master plans.
THEREFORE, the Board of Regents authorized the university to issue an RFQ for campus
master planning purposes, analyze the responses and bring a group of finalists back to the
board for a selection.
OPERATIONAL RESTORATION SERVICES
WHEREAS, the Board of Regents considered the following: As a part of operational
continuity planning, the university solicited proposals for emergency response support
services for unexpected events involving chemical emissions, wind, water, fire, smoke, or
other types of occurrences. The expectation in the solicitation was that an emergency
response firm would be able to respond immediately if emergency support services were
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needed. The university’s expectation was also that the firm would be on standby if
emergency support services were needed.
THEREFORE, it was ordered that the university contract with Mooring Recovery Services
to provide restoration in the event of damages to SFA property in the form of chemical
emissions, wind, water, fire, or smoke. Mooring Recovery Services has agreed to
prioritize the university’s needs in an emergency event and will respond immediately to
provide restorative services.
President Pattillo introduced special guests, Ray Mize and his children, son Jimmy Mize
and his wife Lisa and daughter Lysa Hagan and her husband Bill, who were present to be
recognized by the following motion:
Board Order 11-11
Upon motion by Regent McCarty, seconded by Regent Coleman, with all members
voting aye, it was ordered that the following building and grounds item be approved:
NAMING OF GAYLA MIZE GARDEN
WHEREAS, the board considered the following: In accordance with Board Rules and
Regulations, buildings and other facilities may be named for persons, both living and
deceased, who make a significant donation to the university. The board will consider the
appropriate naming of a plot of ground within the SFA Gardens.
THEREFORE, the Board of Regents adopted the appropriate gift agreements to name the
eight acre tract of land along University and Starr Avenue, identified in Appendix 5,
within the SFA Gardens and the following resolution:
WHEREAS, Ray and the late Gayla Mize, along with their children, Lysa and
Jimmy, are among the loyal supporters of the gardens at Stephen F. Austin State
University; and
WHEREAS, Ray and the late Gayla Mize worked tirelessly giving of their
time, talents and resources to create, grow and improve the gardens at Stephen F. Austin
State University; and
WHEREAS, the late Master Gardener Gayla Mize passed away on February
22, 2009; and
WHEREAS, the Mize Family have faithfully served and continue to serve
Stephen F. Austin State University with distinction and honor as dedicated friends; and
WHEREAS, in their loyal dedication to Stephen F. Austin State University
and their generous spirit of service and standards of excellence, they have set a
distinguished example for others;
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NOW, THEREFORE, LET IT BE RESOLVED, the Board of Regents
expresses its admiration, gratitude and high regard for Ray, Gayla and their children by
naming a plot of ground within the gardens located on the campus the Gayla Mize
Garden.
FINANCIAL AFFAIRS
Board Order 11-12
Upon motion by Regent Garrett, seconded by Regent Boyer, with all members voting
aye, it was ordered that the following financial items be approved:
APPROVAL OF THE FISCAL YEAR 2009-2010 ANNUAL FINANCIAL REPORT
WHEREAS, the board considered the following: On November 20, 2010, the Stephen F.
Austin State University Annual Financial Report for the fiscal year that ended August 31,
2010, was submitted to the Governor, the Comptroller of Public Accounts, the
Legislative Budget Board, the Texas Higher Education Coordinating Board, the
Legislative Reference Library, the Texas State Library and the Texas State Auditor’s
Office as required by state law.
THEREFORE, it was ordered that the August 31, 2010, Stephen F. Austin State University
Annual Financial Report be approved as submitted.
APPROVAL OF THE SFA CHARTER SCHOOL FISCAL YEAR 2009-2010 ANNUAL
FINANCIAL REPORT
WHEREAS, the board considered the following: The Texas Education Agency requires a
separate audit for the SFA Charter School. The SFA Charter School Annual Financial
Report for the fiscal year that ended August 31, 2010, will be submitted to the Texas
Education Agency by January 31, 2011.
THEREFORE, it was ordered that the August 31, 2010 SFA Charter School Annual
Financial Report be approved as presented.
RESOLUTION TO ACKNOWLEDGE REVIEW OF INVESTMENT POLICY AND
STRATEGY
WHEREAS, the board considered the following: In accordance with the Texas Public
Funds Investment Act, the university’s investment policy and strategy must be annually
reviewed by the governing board of the institution. In addition, the law requires the
governing body to adopt a written instrument by rule, order, ordinance or resolution
stating that it has reviewed the investment policy and strategy. The resolution, included in
Appendix 1, acknowledges the board’s annual review of Policy C-41, Investments. Policy
C-41 is included in the Policy Revisions, Appendix 4.
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THEREFORE, the Board of Regents approved the Resolution to Acknowledge Review of
Investment Policy and Strategy, as presented in Appendix 1.
RESOLUTION TO APPROVE QUALIFIED FINANCIAL INSTITUTIONS AND
INVESTMENT BROKERS
WHEREAS, the Board of Regents considered the following: The Texas Public Funds
Investment Act requires the university to adopt a resolution by the governing body of the
institution that approves qualified investment brokers. The following brokers/investment
managers are listed in the resolution, submitted in Appendix 2: Merrill Lynch, Inc.;
iShares Russell 1000 Value; Eaton Vance LCV; Jennison LCV; MFS LCV; Schafer
Cullen LCV; Aletheia LCV; Neuburger Berman LCG; iShares Russell 1000 Growth;
Aletheia LCG; Fayez LCG; Janus LCG; Fred Alger Smith Growth; TIS Group SCC;
iShares Russell 2000; iShares Russell Microcap; CS McKee SCC; Fifth Third Small Cap
Value; London Co SCC; iShares MSCI EAFE Index Fund; Neuberger Berman Intl Core;
Lazard International w/Emerging Markets; MFS Intl Growth; Cadence SCG-MAA; ING
Investment Management; Merrill Lynch Alternative Investments LLC; The Endowment
Fund; Citizens 1st Bank; Austin Bank; BancorpSouth; Commercial Bank of Texas NA;
First Bank and Trust; Regions Bank; Regions Morgan Keegan Trust; US Bank, Texas
Bank; Texpool and Texstar.
THEREFORE, the Board of Regents approved the financial institutions, investment
managers and brokers presented in Appendix 2.
GRANT AWARDS
WHEREAS, the board members considered the following: Since the fiscal year 2010-2011
budget was approved, the university has received grant awards that total $ 43,987,320.
Those include multi-year awards and represent a total increase of $3,130,293 since the
last report. Total grant awards allocable to fiscal year 2011 are $17,215,063. That total
represents an increase of $1,583,564 since the last report. The grant awards result from
extensive faculty research and service engagement across many academic disciplines.
The grants include direct federal, federal pass through, state and private awards.
THEREFORE, the additional fiscal year 2011 grant awards that total $3,130,293 were
approved and ratified. This includes approval of a $204,471 subaward to the Lone Star
College System to coordinate statewide professional development activities for the
Advanced Technical Credit project funded through the Texas Education Agency. The
grant awards are detailed in Appendix 3.
STATE APPROPRIATION REDUCTION
WHEREAS, the Board of Regents considered the following: On December 6, 2010, the
governor, lieutenant governor, and speaker of the house sent a joint letter to state agency
heads directing each to reduce state appropriations by an additional 2.5% for fiscal year
2010-11. The 2.5% reduction is in addition to a 5% biennial reduction that was directed
by the state leadership on January 15, 2010.
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On December 22, 2010, the Legislative Budget Board informed the university that its
2.5% state appropriation reduction amount for fiscal year 2010-11 was $1,025,003. The
university proposes to address the reduction by reducing salary and other institutional
expenditures. A salary expenditure reduction of $600,000 will be realized by instituting a
four-day staff furlough on the following days: April 21, April 22, May 27, and July 1.
Additional savings may be realized by closing the university for these same four days.
Leave-eligible employees will be allowed to expend leave time for the required furlough
days, or go on leave without pay. The disruption to the academic mission will be
minimized as classes are not scheduled on April 21, April 22 and July 1. The MayMester
schedule will be adjusted to address the May 27 date.
The remaining $425,003 will be reduced on a pro-rated divisional basis.
THEREFORE, the Board of Regents approved the state appropriation reduction as
presented and authorized the president to close the university and furlough leave-eligible
employees on April 21, April 22, May 27, and July 1. Furloughed employees classified
by the university as “exempt” shall be allowed to expend vacation time for furlough days,
while furloughed employees classified as “non-exempt” shall be allowed to expend
vacation and/or compensatory time. Furloughed employees without appropriate leave
time accrued, or those who choose not to use leave time, will be placed on leave without
pay status. Personnel essential to the operation of the university required to work during
the furlough days must expend four days of appropriate leave time prior to August 31,
2011.
UNIVERSITY POLICIES AND PROCEDURES
Board Order 11-13
Upon motion by Regent Garrett, seconded by Regent Dickerson, with all members voting
aye, it was ordered that the policy revisions as presented in Appendix 4 be adopted.
Board Order 11-14
Upon motion by Regent Garrett, and seconded by Regent Dickerson, with all members
voting aye, it was ordered that the Board of Regents authorize the administration to
assign each policy currently contained in the university policy manual to the appropriate
committee of the board which oversees that area of operation and to add such designation
to each policy.
REPORTS
President Pattillo reported on the following:
• Significant Dates
• January 31 and February 1: visit by Dr. Lynwood Rose for SACS reaccreditation.
• February 16: Nacogdoches/SFA Day in Austin
• March 1-3: SACS Accreditation Team
• Southern Association of Colleges and Schools
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• Legislative Session Update
• Vice President Steve Westbrook has been awarded an Ed.D. from Texas A&M at
Commerce
Gina Oglesbee, director of audit services, offered a report on the following topics:
• SFA Charter School Financial Audit
• National Collegiate Athletic Association Compliance Review
• Southern Association of Colleges and Schools Financial Review
• American Recovery and Reinvestment Act Audit
• Update on Audit Plan
Dr. Ken Collier, chair of the Faculty Senate, presented a report entitled “Moving Ahead
with Smaller Budget.”
Mr. Andy Teel, president of the Student Government Association, presented a report on
the following topics:
• SFA Way Update: Spring Promotion Plans
• SFA vs. SHSU Volunteer Project
• Spring Election Dates
ELECTION OF BOARD OFFICERS 2011-2012
Regent Coleman, chair of the Nominating Committee, brought a report from the
Nominating Committee. Upon motion by Regent Coleman, seconded by Regent Boyer,
with all members voting aye, the following board members were elected as officers for
2011-2012 and will take office on April 19, 2011:
Chair: Bob Garrett
Vice Chair: Steve McCarty
Secretary: James Dickerson
Outgoing board members Richard Boyer, James Thompson and Melvin White were
recognized and thanked for their service.
The meeting was adjourned at 10:55 a.m.
Appendix 1
BOARD OF REGENTS
OF
STEPHEN F. AUSTIN STATE UNIVERSITY
Nacogdoehes. Texas
RESOLUTION TO ACKNOWLEDGE
REVIEW OF INVESTMENT POLICY AND STRATEGY
WHEREAS, The Texas Public Funds Investment Acl requires that each university's
investment policy and strategy must be annually reviewed by the governing board of the
institution; and
WHEREAS, the law also requires the governing body to adopt a written instrument statins;
that is has reviewed the investment policy and strategy;
NOW THEREFORE BE IT RESOLVED thai the Stephen F. Austin Slate University
Board of Regents, by the issuance of this resolution, does hereby approve the investment
policy and strategy as reviewed on January 25, 2011; and
BE IT FURTHER RESOLVED that a copy of this resolution be spread upon the minutes of
the January 25. 2011 meeting of the board.
Attest:
Midvin R. White. Chair Richard B. Boyer, Secretary
Appendix 2
BOARD OF REGENTS
OF
STEPHEN F. AUSTIN STATE UNIVERSITY
Nacogdoches, Texas
RESOLUTION APPROVING
FINANCIAL INSTITUTIONS AND BROKERS
FOR INVESTMENT TRANSACTIONS
WHEREAS. The Texas Public Funds Investment Act requites the university to submit a resolution
approving a lisl of qualified investment brokers and financial institutions to the governing body ofthe
institution for adoption and/or review; and
WHEREAS, the following firms are approved investment brokers:
Merrill Lynch. Inc.
iShares Russell 1000 Value
Eaton Vance [XV
Jonnison LCV
Ml-S LCV
SchaferCullenLCV
A let he i a LCV
Neuburgcr Berman LCG
iSharcs Russell 1000 Growth
AlelheiaLCG
Fayez LCG
Janus LCG
Fred Alger Smith Growth
TIS Group SCC
iShares Russell 2000
[Shares Russell Microcap
CS McKce SCC
Firth Third Small Cap Value
London Co SCC
iShares MSC1 EAFE Index Fund
Ncuberger Berman Intl Core
Lazard International w/Emerging Markets
MFS Intl Growth
Cadence SCG-MAA
IMG Investment Management
Merrill Lynch Alternative Investments LLC
The Endowment Fund
Appendix 2
WHEREAS, the following firms are approved financial institutions:
Citizens 1st Bank
Austin Bank
BancorpSouth
Commercial Bank ofTexas NA
First Bank and Trust
Regions Bank
Regions Morgan Keegan Trust
US Bank
Texas Bank
Texpool
Texslar
NOW THEREFORE BE IT RESOLVED that the Stephen F. Austin Stale University Board of
Regents, by the issuance of this resolution, does hereby approve the above listed firms for investment
transactions by Stephen F. Austin Stale University; and
BE IT FURTHER RESOLVED that a copy of this resolution be spread upon the minutes of the
January 25, 201 I meeting of the board.
MoiVin R. While, Chair Richard B. Boyer, Secretary
Appendix 3
Grants awarded September 15, 2010 - December 31, 2010
*New awards
Prepared by the Office of Research & Sponsored Programs
1
Total current year awards $ 1,583,564
Subtotal direct federal 283,527
Subtotal federal pass-through 1,188,557
Subtotal state and state pass-through 50,360
Subtotal private and local government 61,120
Total awards (all years) for new awards (this period) $ 2,457,236
Total awards (all years) for continuing grants (this period) $ 673,057
Direct Federal Awards
*Vocational Rehabilitation Counselor Training
FY 2011 Award: $150,000
Total Award: $750,000 (Grant - renewal)
Sponsor: U.S. Department of Education
Term (this action): October 1, 2010 – September 30, 2015
Description: This grant provides funds to significantly increase the supply of
master’s degree trained, CRC-eligible Rehabilitation Counselors. PI/PD: Dr. Robert
Choate, Department of Human Services
*Identification of Selective Cytotoxic Eryngiosides from Eryngium L.
FY 2011 Award: $133,527
Total Award: $280,800 (Grant)
Sponsor: U.S. Department of Agriculture
Term (this action): September 1, 2010 – August 31, 2012
Description: This grant funds a study that will aid in the long-term goal of
developing eryngiosides (oleanane-type triterpenoid glycosides or saponins isolated from
Eryngium L.) as novel primary and/or adjuvant therapy for cancers. PI/PD: Dr. Shiyou
Li, National Center for Pharmaceutical Crops, College of Forestry and Agriculture
Subtotal Current Year Awards (this report) = $283,527
Subtotal Continuing Direct Federal Awards (total award) = $0
Subtotal New Direct Federal Awards (total award) =$1,030,800
Federal Pass-through Awards
*Advanced Technical Credit Professional Development Accountability System
FY 2011 Award: $400,000
Total Award: $400,000 (Grant – renewal)
Sponsor: Texas Education Agency (U.S. Dept. of Education)
Term (this action): September 1, 2010 – August 31, 2011
Subawards: $204,471 – A subaward to the Lone Star College System (LSCS) is
approved by the sponsor as part of the grant application. LSCS will coordinate statewide
professional development activities related to this project.
Appendix 3
Grants awarded September 15, 2010 - December 31, 2010
*New awards
Prepared by the Office of Research & Sponsored Programs
2
Description: Funds are provided to continue support of the statewide Advanced
Technical Credit (ATC) Program by determining and recording the eligibility of
secondary teachers to teach courses for articulated college credit and, in partnership
with the Lone Star College System, to facilitate secondary-to-postsecondary course
alignment and training of secondary subject-area teachers. PI/PD: Dr. Judy Abbott,
College of Education
*State Leadership Educational Excellence for CTE in Education & Training, Hospitality &
Tourism, and Human Services
FY 2011 Award: $300,000
Total Award: $300,000 (Grant - renewal)
Sponsor: Texas Education Agency (U.S. Department of Education)
Term (this action): December 1, 2010 – August 31, 2011
Description: Funds are provided to support the statewide implementation of
rigorous TEKS for the Education and Training, Hospitality and Tourism, and Human
Services career cluster with professional development opportunities to improve teacher
effectiveness. PI/PD: Dr. Lynda Martin, Department of Human Sciences. Co-PIs/PDs: Dr.
Chay Runnels, Department of Human Services; Dr. Mary Olle, Department of Human
Services
*Pineywoods Area Health Education Center (AHEC)
FY 2011 Award: $88,000
Total Award: $88,000 (Subaward - renewal)
Sponsor: U.T. Medical Branch – Galveston
(U.S. Dept. of Health & Human Services)
Term (this action): September 1, 2010 – August 31, 2011
Description: The purpose of this project is to build and maintain an integrated,
community-based regional organization to effectively and efficiently address and support
achievements of East Texas AHEC objectives. PI/PD: Ms. Janis Ritter, AHEC - College
of Science and Mathematics
*Avian Community Dynamics in Bottomland Hardwood Forests of East Texas
FY 2011 Award: $58,840
Total Award: $452,320 (Interagency Agreement)
Sponsor: Texas Parks and Wildlife (U.S. Dept. of the Interior)
Term (this action): September 1, 2010 to August 31, 2015
Description: The objectives of this research are to quantify avian and forest
community structure, dynamics, and response prior to and after experimental
silvicultural treatments at the Old Sabine Bottom Wildlife Management Area and
compare those metrics to reference sites at the Little Sandy National Wildlife Refuge.
PI/PD: Dr. Warren Conway, School of Forestry
Appendix 3
Grants awarded September 15, 2010 - December 31, 2010
*New awards
Prepared by the Office of Research & Sponsored Programs
3
*State Fiscal Stabilization Fund (ARRA Stimulus Funds)
FY 2011 Award: $33,282
Total Award: $33,282 (Formula Grant)
Sponsor: Texas Education Agency (U.S. Dept. of Education)
Term (this action): September 1, 2010 – August 31, 2011
Description: These Recovery Act funds are being used to provide reading and
mathematics at-risk intervention teachers for the SFA Charter School. PI/PD: Ms. Lysa
Hagan, Charter School, Department of Elementary Education
*Expanding an Understanding of Rural Human Services
FY 2011 Award: $9,940
Total Award: $9,940 (Subaward)
Sponsor: University of Massachusetts Rural Policy Research
(U.S. Department of Agriculture)
Term (this action): August 25, 2010 – December 18, 2010
Description: Funds are provided for the analysis of qualitative data, collection
of outcomes, investigation of child welfare databases, and design of collection baseline
data, all of which will help initiate a more comprehensive human services research
agenda. PI/PD: Dr. Kathleen Belanger, School of Social Work
*Special Education Recruitment and Retention
FY 2011 Award: $8,867
Total Award: $8,867 (Subaward - renewal)
Sponsor: Texas A&M – Texarkana (U.S. Department of Education)
Term (this action): September 1, 2010 – June 30, 2011
Description: The objective of this agreement is to implement and support work
related to the State of Texas special education grant, which may include workshops,
scholarships, and stipends. PI/PD: Dr. Carol Harrison, Department of Human Services
*Statewide Longitudinal Data System (SLDS)
FY 2011 Award: $2,872
Total Award: $2,872 (Subaward)
Sponsor: Texas Higher Education Coordinating Board
(U.S. Dept. of Education)
Term (this action): September 1, 2010 – November 15, 2011
Description: This grant provides funds to design, develop, and implement
statewide, longitudinal data systems to efficiently and accurately manage, analyze,
disaggregate, and use individual student data, consistent with the Elementary and
Secondary Education Act of 1965 and to facilitate analyses and research to improve
student academic achievement. PI/PD: Ms. Karyn Hall, Institutional Research
Previously Described Awards
Mentor Program and Workshops for Area Child Care Providers (ARRA Stimulus Funds)
FY 2011 Award: $255,965 (additional award) Total Award: $372,840
PI/PD: Ms. Lori Harkness, Department of Elementary Education
Appendix 3
Grants awarded September 15, 2010 - December 31, 2010
*New awards
Prepared by the Office of Research & Sponsored Programs
4
Evaluating the Effectiveness of a NASA-led Effort to Build Climate Literacy among NPS and
FWS Educators (NASA Earth to Sky II)
FY 2011 Award: $19,791 Total Award: $60,017
PI/PD: Dr. Theresa Coble, School of Forestry
Utilities and Districts Mapping (Implementation)
FY 2011 Award: $10,000 Total Award: $215,000
PI/PD: Mr. P. R. Blackwell, Forestry - Columbia Regional Geospatial Service Center
*MLK Day of Service
FY 2011 Award: $1,000 (renewal) Total Award: $1,000
PI/PD: PI/PD: Dr. Jamie Bouldin, Student Life
Subtotal Current Year Awards (this report) = $1,188,557
Subtotal Continuing Federal Pass-through Awards (total award) = $647,857
Subtotal New Federal Pass-through Awards (total award) =$1,296,281
State and State Pass-through Awards
*Developing a Large Woody Debris for the San Antonio River
FY 2011 Award: $20,000
Total Award: $50,000 (Interagency Agreement)
Sponsor: Texas Water Development Board
Term (this action): January 1, 2011 – September 30, 2012
Description: The purpose of this project is to develop a Large Wood Debris
(LWD) budget for southern rivers to quantify possible management efforts on LWD
dynamics in order to ensure that healthy populations of aquatic life are maintained in
Texas rivers. PI/PD: Dr. Matthew McBroom, School of Forestry, Waters of East Texas
(WET) Center
*Student Success Initiative FY 2011
FY 2011 Award: $2,750
Total Award: $2,750 (Formula Grant)
Sponsor: Texas Education Agency
Term (this action): September 23, 2010 – August 31, 2011
Description: The purpose of this program is to provide transitional financial
assistance to Texas independent school districts and open-enrollment charter schools
during the second post-Accelerated Reading Instruction/Accelerated Math Instruction
school year. PI/PD: Ms. Lysa Hagan, Department of Elementary Education
Previously Described
*JAMP Camp FY 2011
FY 2011 Award: $20,000 (renewal) Total Award: $20,000
PI/PD: Dr. Kevin Langford, Department of Biology
Appendix 3
Grants awarded September 15, 2010 - December 31, 2010
*New awards
Prepared by the Office of Research & Sponsored Programs
5
*SFA Charter School Technology Allotment FY 2011
FY 2011 Award: $7,610 (renewal) Total Award: $7,610
PI/PD: Ms. Lysa Hagan, Department of Elementary Education
Subtotal Current Year Awards (this report) = $50,360
Subtotal Continuing State/State Pass-through Awards (total award) = $0
Subtotal New State/State Pass-through Awards (total award) =$80,360
Private and Local Government Awards
*AHEC Special Projects
FY 2011 Award: $15,000
Total Award: $15,000 (Grant)
Sponsor: U.T. Medical Branch - Galveston
Term (this action): November 9, 2010 – August 31, 2015
Description: The purpose of this project is fund projects that will help build and
maintain an integrated, community-based regional organization to effectively and
efficiently address and support achievements of East Texas AHEC objectives PI/PD: Ms.
Janis Ritter, Piney Woods AHEC, College of Sciences and Mathematics
*Houston County Cultural Heritage Map & Interactive Web Application
FY 2011 Award: $10,000
Total Award: $10,000 (Interlocal Agreement)
Sponsor: Houston County
Term (this action): December 17, 2010 – April 30, 2012
Description: The purpose of this project is to create a historic tourism GIS for
Houston County including base data such as roads, streams and cities, and annotated
historically or culturally significant locations. PI/PD: Mr. P.R. Blackwell, Columbia
Regional Geospatial Service Center
*Nacogdoches County Wildfire Protection Plan Assessment
FY 2011 Award: $10,000
Total Award: $10,000 (Interlocal Agreement)
Sponsor: Nacogdoches County
Term (this action): August 17, 2010 – August 31, 2011
Description: This grant provides funds for the development of a Wildfire
Protection Plan for Nacogdoches County. PI/PD: Dr. Brian Oswald, School of Forestry
*Stakeholder’s Attitudes towards Black Bears in Louisiana
FY 2011 Award: $10,000
Total Award: $10,000 (Contract)
Sponsor: Louisiana Fish and Wildlife Department
Term (this action): September 1, 2010 – August 31, 2011
Description: Funds are provided to assess the general attitudes of the residents
of specific Louisiana towns toward black bears by determining residents currently
knowledge of, familiarity with, attitude toward and opinion of black bears and black bear
Appendix 3
Grants awarded September 15, 2010 - December 31, 2010
*New awards
Prepared by the Office of Research & Sponsored Programs
6
management in potential and occupied range. PI/PD: Dr. Pat Stephens-Williams, School
of Forestry
*Douglass Cemetery Mapping
FY 2011 Award: $3,000
Total Award: $3,000 (Contract)
Sponsor: Douglas Cemetery Board
Term (this action): December 2, 2010 – November 30, 2011
Description: Funds are provided to collect a GPS location for every marked
internment, build a geo database of information inscribed on the headstones of each
grave, create a plat map locating existing burials and as a general guide for potential
spaces available for future burials, and generate a map suitable for display. PI/PD: Mr.
P.R. Blackwell, Columbia Regional Geospatial Service Center
*myPLAYBOOK Online Drug Education for SFA Students-Athletes
FY 2011 Award: $1,795
Total Award: $1,795
Sponsor: NCAA Educational Affairs
Term (this action): September 30, 2010 – May 31, 2011
Description: This grant provides funds for the myPlaybook Core Program, an
interactive web-based program that provides a new and engaging method to educate
student-athletes about drug and alcohol addiction. PI/PD: Loree McCary, Department of
Athletics
Previously Described
Pine Tip Moth Impact Project
FY 2011 Award: $8,925 Total Award: $20,400
PI/PD: Dr. Dean Coble, School of Forestry
AHEC Apartment Utilities Fund
FY 2011 Award: $2,400 Total Award: $4,800
PI/PD: Dr. Dean Coble, School of Forestry
Subtotal Current Year Awards (this report) = $61,120
Subtotal Continuing Private/Local Government Awards (total award) = $25,200
Subtotal New Private/Local Government Awards (total award) =$49,795
Note:
• Amounts are based on award notices as they are received from the funding agency, not
expenditures or balances in funds/accounts.
• Does not include non-grant financial aid or gift accounts.
Appendix 4
Policies for Board Review
January 25, 2011
Policy Name Policy
Number Action/Change Page
Number
Academic Chair/Director
Appointment E-6A Policy title changed. Minor edits. P-3
Academic Space for Non-
Academic Activities B-2 Policy title changed. Major rewrite. P-5
Austin Building Conference
Rooms B-3 Minor edits. P-7
Best Value Procurement C-7
Removed SFA Charter School and
added Equestrian Program to exempt
purchases.
P-8
Budget Change and
Additional Appropriation C-4
Increased approval requirement
level to $10,000. Changed process
for approval.
P-13
Central Receiving F-6 Updated processes to reflect Banner
changes. P-14
Compensation Plan for
Classified and Non-Classified
Staff
E-68 Policy title changed. References
updated. P-17
Faculty Development Leaves E-23A Major rewrite. P-27
Fair Labor Standards E-70 Minor edits. Updated references. P-30
Grants and Contracts
Administration A-56
Grants presented to board quarterly.
Grant-funded employees subject to
board approval. References updated.
P-34
Guarantees Relating to
Matters Other Than
Termination
E-26A Policy title changed. Major rewrite. P-35
Instructor-generated Materials A-22.1 Major rewrite. P-38
Insurance and Other Benefits E-28
Social security information based on
2010 rates. Savings bonds deleted.
References updated.
P-40
Investments C-41
Changed responsibility for collateral
documentation. Further defined rate
risk and credit risk. Training
broadened.
P-47
Investments-Endowment
Funds C-41A References updated. P-59
Items Requiring Board of
Regents Approval D-20.5
Removed approval exclusion for
employees paid with grant funding.
Grants will be submitted to the
board quarterly.
P-69
New Employee Orientation E-33.1 Minor edits. P-73
Appendix 4
Policy Name Policy
Number Action/Change Page
Number
Part-time Faculty E-37A Minor edits. P-75
Performance Evaluation of
Tenured Faculty A-37.1 Policy title changed. Major rewrite. P-76
Personnel Action Request E-39 Policy title changed. Major rewrite. P-80
Prompt Payment to Vendors
and Employees C-25.1 PAR changed to EPAF process.
References updated. P-82
Proprietary Purchases C-26 Titles and references updated. P-84
Purchase of Electronic and
Information Resources C-62 Major rewrite. P-85
Purchase of Surplus Property C-28 Updated web addresses and
references. P-87
Retirement Programs E-43
TRS employer matching
contribution changed beginning
1/1/10. References updated.
P-90
Safe and Vault Combinations D-29 Reviewed with no changes. P-93
Semester Grades A-54 Marks of R*, T* and AU defined. P-94
Student Employment F-26 Major rewrite. P-96
Student Media D-44 Student Publications Committee
reduced to nine members. P-100
Student Service Fee
Allocations F-28 References updated. P-103
Student Travel D-48 References updated. P-104
Teacher Preparation A-6 Policy title changed. Major rewrite. P-106
University Awards Programs A-66 Minor edits. P-108
Working Hours and Holidays D-40 Minor edits. P-109
Appendix 4
P-3
Academic Unit Chair/Director Appointments (E-6A)
Original Implementation: May 23, 1979
Last Revision: January 29, 2008January 25, 2011
Academic unit chairs/directors under a twelve-month contract are expected to be on duty
each working day except when on vacation, sick leave, or other form of leave. Vacation
time and sick leave are earned according to the schedule for Texas state employees.
Academic unit chairs/directors are subject to being called upon to address a task or issue
outside the normal working day when it is judged to be in the best interest of the
university. to address a task or /issue outside the normal working day.
Academic unit chairs/directors under an eleven-month contract are expected to be on duty
each working day within that contract period when classes are in session except when on
sick leave or other form of leave. In general, the eleven-month contract shall be treated as
an academic year appointment plus two summer months. It is the responsibility of
academic unit chairs/directors to enassure that on going academic unit obligations are met
during their absence. Vacation time is not accrued under an eleven-month appointment.
Sick leave is earned according to the schedule for Texas state employees. Academic unit
chairs/directors under an eleven-month contract are also subject to being called upon to
address a task or issue outside the normal working day when it is judged to be in the best
interest of the university. Chairs/directors under an eleven-month contract are subject to
being called upon at any time when it is judged to be in the best interest of the university
to address a task or /issue outside the normal working day.
Academic unit chairs/directors who are appointed for a period of eleven months should
have no university duties to the university during the equivalent of one calendar month
(twenty-one working days) during June, July, and August. (twenty-one working days).
These days may be taken at one time or distributed throughout the summer. In any case,
the twenty-one days allowed during the summer shall be logged in the academic unit
office and approved by the respective dean prior to the time of taking leave from duties.
Cross Reference: Departmental Administration (E-10A) and Chair Teaching Load (E-
70A)
Appendix 4
P-4
Responsible for Implementation: Provost and Vice President for Academic Affairs
Contact for Revision: Provost and Vice President for Academic Affairs
Forms: None
Board Committee Assignment: Academic and Student Affairs
Appendix 4
P-5
Academic FacilitiesSpace for Non-Academic Activities (B-
2)
Original Implementation: 1979
Last Revision: January 29, 2008January 25, 2011
The provisions of the policy on the Use of University Facilities (B-1) govern the use of
all buildings, facilities, equipment, and grounds, hereafter referred to as facilities, under
the control of Stephen F. Austin State University. That policy provides that the university
may establish additional procedures for the reservation and use of specific facilities;
therefore, the following provisions apply to academic facilitiesspace for non-academic
activities.
There are times when facilities are needed by non-academic departments of the university
as well as registered student organizations. Non-academic departments of the university
and registered student organizations may request the use of campus facilities to conduct
activities that further their mission.
To help achieve the most efficient utilization of university resources, Facademic facilities
may be made available for the use of non-academic activities departments of the
university and registered student organizations upon their request and approval of to the
dean of the college or the facility director, subject to facility director who administers the
space desired. The availability and use of such facilities will be subject established to the
regulations and policies. set forth by the controlling college relating to the use of
specific facilities within their delegated purview. Efforts should be made by the colleges
to accommodate these requests whenever possible. Extensive or repeated use of the
facility may require implementation of a facility use agreement. A statement of proof of
responsibility or property damage deposit may be developed and required by the college
that administers the space before use of the facilities is authorized. Such statements
and/or Pprocedures for requiring property deposits or facility use agreements must be in
writing and have the approval of the president, provost and general counsel. Questions
relating to contractual conditions should be initially directed to the dean of the college or
facility director, who may as necessary, consult with the university attorney. The use of
all academic facilitiesspace is subject to the permissible assignment and or scheduling. of
that facility.
Cross Reference: Use of University Facilities, Policy (B-1); Turner Auditorium, Policy
(B-28)
Appendix 4
P-6
Responsible for Implementation: Provost and Vice President for Academic Affairs;
Vice President for University Affairs
Contact for Revision: Provost and Vice President for Academic Affairs, Vice President
for University Affairs
Forms: None
Board Committee Assignment: Academic and Student Affairs
Appendix 4
P-7
Austin Building Conference Rooms (B-3)
Original Implementation: June 10, 1986
Last Revision: January 29, 2008January 25, 2011
The provisions of the policy on the Use of University Facilities (B-1) govern the use of
all buildings, facilities, equipment, and grounds, hereafter referred to as facilities, under
the control of Stephen F. Austin State University. That policy provides that the university
may establish additional procedures for the reservation and use of specific facilities;
therefore, the following provisions apply to Room 305 and Room 307 in the Austin
Building.
Because of the formal nature of these rooms, the university wishes to preserve them for
important official and universal functions of the university. They will not be available for
scheduling by campus groups for routine meetings. Faculty, staff, and student groups are
referred to the coordinator of university reservations and conferences in the Pattillo
Student Center for scheduling meetings in that facility.
These conference rooms will be primarily for the use of the Board of Regents and the
president of the university in their conduct of the governance and administration of the
university, as well as for visits of dignitaries and official university guests.
Beverages and food are prohibited in conference rooms 305 and 307, except as approved
by the president or the chair of the Board of Regents.
Cross Reference: Policy B-1, Use of University Facilities (B-1)
Responsible for Implementation: President
Contact for Revision: President
Forms: None
Board Committee Assignment: Building and Grounds
Appendix 4
P-8
Best Value Procurement (C-7)
Original Implementation: January, 1988
Last Revision: July 21, 2009January 25, 2010
PROCUREMENT PROCESSES
Stephen F. Austin State University makes purchases, not otherwise delegated through
Policy C-10, Delegated Purchasing Authority, on a best value basis through any of the
following processes. All procurement processes require Board of Regents approval as per
Policy D-20.5, Items Requiring Board of Regents Approval. HUB Subcontracting Plan
requirements apply in accordance with Policy C-16.5, Historically Underutilized
Businesses, and state law.
A. All purchases completed with state appropriated funds must first consider making
the purchase from Texas Industries for the Blind and Handicapped (TIBH) as
mandated by Education Code 51.9335 to promote the purchase of goods or services
from persons with disabilities.
B. Purchases $0 - $5,000 are to be negotiated to achieve the best value for the
university.
C. The university may purchase goods or services through competitive bid
procedures with the following minimum bidder requirements. A justification must
be included in the order file if these minimums are not met.
1. $5,000.01 - $25,000.00 – Minimum three informal bids required;
minimum 50% HUB vendors including one woman-owned and one minority-owned
2. Greater than $25,000.00 – Minimum five formal bids required; minimum
50% HUB vendors including one woman-owned and one minority-owned;
Electronic State Business Daily posting required unless Procurement Services
determines that no value is added by the posting.
In determining best value for Competitive Sealed Bids, the university shall consider
best value factors identified in Education Code 51.9335.
D. The university may purchase goods or services through the competitive sealed
proposal process outlined in the Procurement Department RFP Manual. All
competitive sealed proposals shall include an appropriate number of solicitations to
be determined by the Procurement Department, including HUB vendors of any
gender and ethnicity when identified as providing the good or service sought.
Electronic State Business Daily posting is required, unless the Procurement
Department determines that no value is added by the posting.
Appendix 4
P-9
E. The university may purchase goods or services through the Request For Offer
process established in 34 Texas Administrative Code Section 20.391 for the
acquisition of automated information systems goods and services.
F. The university may purchase goods or services through group/cooperative
purchasing programs without a solicitation process, when such purchase is deemed
to represent the best value to the university.
G. The university may purchase goods or services through State of Texas Term
Contracts, State of Texas Multiple Award Schedules, and DIR/Tex-An Contracts
without a solicitation process, when such purchase is deemed to represent the best
value to the university.
H. The university may purchase goods or services through reverse auctions.
I. The university may purchase goods or services through contracts awarded by
other state agencies or institutions of higher education without a solicitation process
when such contracts are available and have followed approved purchasing
processes, and such purchase is deemed to represent the best value to the university.
J. The university may purchase goods or services through contracts awarded by the
Council on Competitive Government in accordance with Government Code 2162
without a solicitation process, when such contracts are available, and such purchase
is deemed to represent the best value to the university.
K. The university may purchase goods or services on an EMERGENCY basis. An
emergency purchase is defined as a situation requiring that a procurement be made
more quickly to prevent a hazard to life, health, safety, welfare, or property or to
avoid undue additional cost to the university. A procurement may be declared an
emergency at the purchaser’s discretion in consultation with the end user and upon
approval by the director of procurement. Declaration of an emergency supersedes all
other best value procurement rules. The university will attempt to obtain bids, price
comparisons or proposals when sufficient time exists by utilizing the most effective
procurement process, including the Electronic State Business Daily, when value is
added by using such processes.
EXEMPT PURCHASES
The following purchases are exempt from best value procurement processes. Submission
of a purchase requisition and other rules may apply. Statements included below in quotes
are considered to be a part of any purchase order issued for the good or service when the
purchase order is identified as an exempt purchase.
1. Advertising
2. Hotels and meeting rooms for conferences
Appendix 4
P-10
3. Conference expenses; expenses related to conference room services such as
audio/visual/network and food services. (does not include goods purchased for
attendees or transportation services)
4. Moving expenses (employee) — See Policy C-21, Moving Expenses
5. Student travel; expenses related to student travel
6. Library materials and services for Stephen F. Austin State University libraries, as
defined by Government Code 2155.139(a)(2), when such exemption represents the
best value to the university. “Exempt library purchase in accordance with university
policy”
7. Membership dues and associated fees
8. Direct publications only available from a single source as defined by Texas
Procurement and Support Services (TPASS) in the TPASS Procurement Manual;
i.e., hard-copy or electronic subscriptions, books, videos, software and software
maintenance direct from the publisher. “Not available from any other source”
9. Freight, including shipping, handling, fuel surcharge, hazardous material fee,
postage, and other surcharges
10. Intra-agency payments
11. Rental of exhibit space; i.e., booths for display purposes
12. Items for resale
13. Internal repairs – repairs for which the extent and cost of such cannot be
determined until the commodity is disassembled and evaluated. An internal repair
must contain labor and may also include parts. “Accurate repair costs cannot be
determined until equipment is disassembled.”
14. Purchases from federal agencies
15. Utilities, other than electricity for which SFA chose to opt into deregulation
16. Organized activity purchases – Goods and services for the Early Childhood Lab,
SFA Charter School, Cole Audiology Lab, Beef Farm, Poultry Farm, Equestrian
Program, Broiler Houses, and Swine Farm when the purchase directly affects
operations and such exemption represents the best value to the university. “Exempt
purchase for an organized activity related to an instructional department in
accordance with university policy”
17. Group travel; expenses related to group travel when such group travel includes
non-university persons and is funded by payment from individual travelers; i.e., Art
Tour
18. Gifts, prizes and awards for students, employees and non-university individuals
19. Accreditation Fees
20. Tournament Fees or Game Guarantees
21. Licensing Fees or Permits
22. Employee Registration or Tuition
23. Sponsorships
24. Non-travel-related meals
Appendix 4
P-11
25. Fees, not otherwise identified herein
26. Notary bonds
COMPETITIVE SEALED BID SUBMISSION, BID OPENING, AND
TABULATION
Bid Submission
1. Prospective bidders may request specific bid invitations from the Procurement
Department at any time prior to the bid opening;
2. A bidder may withdraw its bid by written request at any time prior to the bid
opening date and hour;
3. A bid received after the time and date established by the bid invitation is a late bid
and will not be considered;
4. A bid received which does not contain adequate bid identification information on
the outside of the envelope will be opened to obtain such information and will then
be processed as any other bid. If the incorrect information on the envelope causes
the bid not to be considered in making an award, the bid will be considered invalid
and rejected;
5. Bids may be submitted by facsimile (fax). The telephone number for fax bid
submission will be identified in the solicitation; no other number may be used for
bid submission. Bids submitted by fax need not be confirmed in writing, but must
comply with all legal requirements applicable to formal bids. If all or any portion of
a bid submitted by fax is received late, is illegible, or is otherwise rendered non-responsive
due to equipment failure or operator error, the bid or the applicable
portion of the bid will not be considered. The university shall not be liable for
equipment failure or operator error, nor will such failure or error require other bids
to be rejected or the bid invitation to be re-advertised.
6. Bids may be submitted by email when specific instructions regarding email
submission are included in the solicitation, or if approved by the purchaser. Bids
submitted by email need not be confirmed in writing, but must comply with all legal
requirements applicable to formal bids. If all or any portion of a bid submitted by
email is received late, is illegible, or is otherwise rendered non-responsive due to
equipment failure, operator error or email quarantine, the bid or applicable portion
of the bid will not be considered. The university shall not be liable for equipment
failure, operator error, or emails directed to email quarantine, nor will such require
other bids to be rejected or the bid invitation to be re-advertised. When email
submission is allowed, all required signatures must appear on the emailed document
via scan or image attachment.
7. An unsigned bid is not valid and will be disqualified;
Appendix 4
P-12
8. A bidder or department may request, in person at the bid opening, that bids be
read aloud. No bid shall be required to be read aloud at any time other than during
regular working hours and days;
9. When formal bids are required, bids may not be taken or accepted by telephone;
10. If an error is discovered in a bid invitation, or agency departmental requirements
change prior to the opening of a bid, the Procurement Department will transmit an
addendum correcting or changing the specifications to all bidders originally listed on
the transmission list for that bid invitation. Bids will not be rejected for failure to
return the addendum with the bid, unless otherwise noted, if the receipt of the
addendum is acknowledged on the face of the bid.
Bid opening and tabulation.
1. All bid openings conducted by the Procurement Department shall be open to the
public.
2. Bid opening dates may be changed and bid openings rescheduled if bidders are
properly notified in advance of the opening date.
3. If a bid opening is canceled, all bids which are being held for opening will be
returned to the bidders.
4. All bid tabulation files are available for public inspection. Bid tabulations may be
reviewed by any interested person during regular working hours at the offices of the
Procurement Department, or a copy may be provided. Employees of the university
are not required to give bid tabulation information by telephone.
Cross References: Items Requiring Board of Regents Approval (D-20.5); Historically
Underutilized Businesses (C-16.5); Delegated Purchasing Authority (C-10); Tex. Educ.
Code § 51.9335; 34 Tex. Admin. Code § 20.391; Tex. Gov’t Code § Ch. 2162; Tex.
Gov’t Code § 2155.139(a)(2)
Responsible for Implementation: Vice President for Finance and Administration
Contact for Revision: Director of Procurement and Property Services/HUB Coordinator
Forms: Purchase Requisition, Purchase Voucher
Board Committee Assignment: Finance and Audit
Appendix 4
P-13
Budget Change and Additional Appropriation (C-4)
Original Implementation: Unpublished
Last Revision: January 29, 2008January 25, 2011
A "Budget Change and Additional Appropriation" form is used to transfer budgeted
funds from one budget category to another within an account, from account to account,
used to request funds to supplement existing budgets, and may be used to transfer funds
between accounts. In addition, the form may be used to request a budget change may be
requested if an. If a departmental income account's actual revenue exceeds its revenue
estimate. When this occurs a department may request a budget revision to increase its
revenue estimate and expenditure budget. All budget changes in excess of $1,000
$10,000 require approval of the vice president for finance and administration and the
president, and budget changes in excess of $100,000 require approval of the Board of
Regents.
The "Budget Change and Additional Appropriation" formappropriate document must be
completed by the originator and approved at appropriate division levels. After division
approval, the form will be sent to the budget office. The request will be reviewed, and if
appropriate, approved and recorded. If additional information is needed, the originating
department will be contacted.
Account managers should verify that the transaction has been recorded in the accounting
system.
Cross Reference: None
Responsible for Implementation: Vice President for Finance and Administration
Contact for Revision: Vice President for Finance and Administration
Forms: SFA FormsServer (Budget Add/Change AppropriationOffice Transaction
Request)
Board Committee Assignment: Finance and Audit
Appendix 4
P-14
Central Receiving (F-6)
Original Implementation: Unpublished
Last Revision: April 22, 2008January 25, 2011
All supplies and equipment purchased for the university are to be delivered through
Central Receiving to ensure uniform handling of freight claims, accurate entry of
receiving information, and necessary elements of institutional control. The following
purchases are excluded from this requirement.
1. items being delivered under delegated purchase authority to the library, Stone Fort
Museum, or departments using P-Cards or Phone POsRush Orders;
2. items that require installation by the contractor;
3. items specifically authorized by the Purchasing and InventoryProcurement and
Property Services Department.
It is the responsibility of the department taking receipt of goods or services to
immediately update on-line receivingcomplete a Receiving Form for Purchase Orders
online for all of any direct deliveries of goods or services. Timely entry of receiving
information is essential to avoid late payment penalties, and to effectively handle freight
claims, shortages, or discrepancies.
Vehicle Delivery
1. All vehicles delivered to Central Receiving will be checked for meeting
specifications, and delivered to the transportation manager for identification as a
state vehicle and recording State Vehicle Fleet Management Plan information.
2. All vehicles picked up from the dealer (usually long-term leased or lease-purchased
vehicles) must be delivered immediately upon pick-up to the
transportation manager for identification as a state vehicle and recording State
Vehicle Fleet Management Plan information. Vehicle pick-up may be completed by
the end user or by the Transportation Department.
Other Delivery Services
1. count and examine all cartons for visible damage, create a Receiving
Report/Delivery RecordReceiver Document and Delivery Log in the BannerFRS
Purchasing System, and note any discrepancies on the Bill of Lading;
Upon receipt of goods, Central Receiving will:
Appendix 4
P-15
2. deliver all materialpackages, boxes, crates, etc., (except that those requiring
inventoryproperty tagging, special equipment or manpower for moving) within 24-
48 hours to the requisitioning department; and
3. handle the filing of claims with the freight company for any freight damages or
shortages;. and
4. affix property inventory tags if needed.
1. check contents of shipment against original purchase order; and complete a
Upon receipt of goods from Central Receiving, the Department will:
Receiving Form for Purchase Orders onlineenter line item receiving information
into the FRS Purchasing System.
2. notify Purchasing within three working daysCentral Receiving immediately of any
damages or shortages that could not be identified by Central Receiving.
1. count and examine all cartons for visible damage and note any discrepancies on
the Bill of Lading
Upon receipt of goods or services directly from the Vendor, the Department will:
2. check contents of shipment against original purchase order and complete a
Receiving Form for Purchase Orders onlineenter line item receiving information
into the FRS Purchasing System.
3. notify Purchasing within three working daysCentral Receiving immediately of any
damages or shortages
Failure to promptly complete a Receiving Form for Purchase Orders online update on-line
receiving information or notify PurchasingCentral Receiving of damages or
shortages may result in delays in 1) the inability to return goods, 2) higher restocking
fees, or 3) payment for the goods or services and a liability for late payment penalties.
The payment of any such penalties will be made from the account(s) that funded the
original purchase.
Outgoing Freight
Outgoing freight should be dispatched through Central Receiving to ensure proper
documentation, packing, and labeling. Clear indication of shipment value should always
be made on the package or on the accompanying documentation. A special notation
should be made when insurance is desired. Contact Central Receiving for additional
instructions or assistance in handling outgoing freight.
Appendix 4
P-16
Cross Reference: None
Responsible for Implementation: Vice President for Finance and Administration
Contact For Revision: Director of Purchasing and InventoryProcurement and Property
Services/HUB Coordinator
Forms: NoneReceiving Form for Purchase Orders
Board Committee Assignment: Finance and Audit
Appendix 4
P-17
Compensation Plan for Classified Exempt and Non-
Classified Exempt Staff (E-68)
Original Implementation: February 3, 2005
Last Revision: January 29, 2008January 25, 2011
Objective
 Considers the external market, while focusing primarily on ensuring internal
equity and emphasizing the advantages of a collegial work environment;
: It is the intent of Stephen F. Austin State University to maintain a
compensation program which:
 Rewards and retains those individuals who exceed defined performance
expectations;
 Provides flexibility in implementation and process to meet the needs of the
university;
 Encourages progression and mobility to excellent performers through job
enrichment and promotions from within; and
 Encourages and rewards the acquisition of skills.
Compensation Principles
 The values of jobs will be based on a blend of SFA values and culture reflected
through core factors and external market values.
:
 Total compensation for all jobs will take into account funding considerations,
appropriate internal job relationships and market relationship.
 Compensation plans, including methodologies and practices, will be well
communicated to all employees at the university.
 Performance management requires a cooperative effort between employees and
supervisors. Employees and supervisors will work together to clarify and meet
performance objectives and expectations.
 The Performance Management Plan will provide ongoing performance feedback
and reward meritorious performance.
Communicating Pay Information: The Human Resources office will provide information
concerning job classification and pay ranges upon request. Furthermore, as a regular part
of their jobs, managers and supervisors are responsible for actively and openly
communicating the organization's pay program and associated policies to employees on
Appendix 4
P-18
an ongoing basis. Managers and supervisors should discuss the following areas with new
and reclassified employees as they pertain to each individual employee's situation:
 The job description covering the employee's duties and responsibilities
 The employee's potential for progression within his/her pay range
 Job performance and its relation to promotional opportunities and pay increases
Administrative Responsibility
 Communicating with their employees about program policies and individual
compensation issues, to include providing the most current job descriptions to
supervisory and managerial personnel;
: Department heads are responsible for administering pay
for employees in their organizational unit in accordance with university policies,
procedures, and guidelines and for making recommendations to the Human Resources
office. Additionally, they are responsible for:
 Working with the Human Resources office on compensation matters, to include
the updating of job descriptions as necessary; and
 Ensuring that salary increase procedures are followed.
1. Issues that are identified by managers and supervisors that are not covered by
these guidelines should be referred to the Human Resources office.
The director of Human Resources has ultimate authority and responsibility for the
university's compensation objectives, structures and policies. Any exceptions to, or major
revisions in, the program must be approved by the director. The director will be
responsible for ensuring these duties are completed:
 Drafting/recommending new or revised compensation policies and procedures
 Administering the daily operation of the salary administration function, including
the approval of salary actions
 Preparing, maintaining, and approving job descriptions
 Monitoring the evaluation of new jobs and re-evaluation of existing jobs
 Reviewing the pay structure annually to maintain market competitiveness and
internal equity
 Reviewing compliance with the Fair Labor Standards Act (FLSA), Equal
Employment Opportunity Commission (EEOC), and other governmental regulations
as they relate to the compensation function
Appendix 4
P-19
 Appraising program effectiveness and recommending program revisions as
necessary
Exempt/Non-Exempt Designation: The terms and provisions of the Fair Labor Standards
Act (FLSA) provide the basis for exempt versus non-exempt status and overtime pay
requirements. The exempt or non-exempt status of each employee, with regard to the
payment of overtime, is determined by the position to which the employee has been
hired, transferred or promoted. The director of human resources is responsible for
determining the correct FLSA status when the job is classified in a pay grade. Each
manager must ensure that the employee performs job duties as described in the job
description and that time worked is reported appropriately to ensure compliance with
overtime provisions of the FLSA.
Job Descriptions
The official job title on the job description will be used for all personnel records and
publications (For internal purposes, however, departments may use a different functional
title.) New official job titles may be created only with the prior review and approval by
the director of human resources.
: All benefits-eligible staff positions covered by this compensation
program shall have a generic job description that includes the official SFA job title, a
general job summary, a list of essential (major) duties and responsibilities, and job
requirements (i.e. minimum education, experience, and other qualification requirements
that an individual should have to fill the position).
Job descriptions are used to:
 Evaluate and classify jobs to determine appropriate internal position relationships.
 Communicate to new or existing employees the fundamental duties and
responsibilities of their jobs.
 Provide job information that can be used to determine competitive pay
relationships in the labor market.
 Provide job information which can be used in the recruitment and selection
process.
 Provide job information which can be used in employee relations matters, such as
performance appraisal, employee orientation, grievance resolution, and
identification of training and development needs.
 Ensure compliance with government legislation.
Appendix 4
P-20
Changes in the duties of a job may require re-analysis and re-evaluation of a job. Where
changes are judged significant by the supervisor and/or manager, he/she should complete
a Job Analysis Questionnaire, which can be obtained from the director of human
resources.
Job Evaluation: The job evaluation method of determining the salary ranges for each
position is a market pricing and slotting method. Salary ranges are determined on the
basis of competitive pay rates for jobs of comparable duties and value to SFA. Extensive
studies of compensation in nationwide competitive universities are made to ensure that
our salary structure is competitive. The competitive salary survey data become the basis
for calculating salary ranges, and, in turn, individual salary targets within the salary
ranges. Benchmark jobs are chosen, priced by analysis of survey data and ranked. All
other jobs are then slotted in relation to these benchmarks. Benchmark jobs are those with
characteristics similar enough to jobs performed in other organizations that they can serve
as market anchor points.
Requests for Evaluation or Re-Evaluation of Jobs
Requests may be prompted by the creation of a proposed new job title or by a substantial
and permanent change in duties or requirements of an individual position or in the
majority of individual positions within a job title. For a change in duties or requirements
to merit re-evaluation, it should meet these criteria:
: New and/or significantly revised
positions or jobs must be evaluated by the human resources office in order to assign them
to their appropriate grades. Requests for jobs to be evaluated or re-evaluated will be made
in writing by the appropriate dean or department head to the director of human resources.
The re-evaluation process will take place once per year just before the budget process
begins.
 It is a permanent change in duties; not a special project or short-term assignment;
 The addition, deletion, or change affects a duty that constitutes a significant
portion of the job (at least 15%);
 The duty which is added, deleted, or changed is substantially different in level and
type from the balance of the job duties so that it seems reasonable that the change in
that one duty would affect the evaluation of the job on one or more job evaluation
factors; or
 The levels of education or experience required for the job noticeably change.
These requirements should reflect minimum standards for satisfactory job
performance, not an incumbent's qualifications.
 The steps for submitting and processing a request for evaluation or re-evaluation
are as follows:
Appendix 4
P-21
 The college or department head completes a "Request for Position Evaluation"
form. Additionally, if a new classification is requested, a completed Job Analysis
Questionnaire (JAQ) must be submitted with the form. If a re-evaluation of an
existing position is requested, a copy of the current job description should be
attached with the proposed changes indicated.
 Human resources may ask that the Job Analysis Questionnaire be completed to
provide more complete information to evaluate the position.
Pay Grade Structures
The structure is based on competitive practices and internal equity considerations, and
provides the possibility for progression to more responsible jobs with higher and broader
pay ranges. The pay structure is intended to:
: SFA uses one combined grade structure to establish compensation
limits for jobs.
 Define the competitive pay position of jobs for the university to the relevant
external market;
 Establish differential pay levels between jobs to recognize differing demands; and
 Establish lower and upper limits of value for each job.
Midpoints of the pay ranges represent SFA's desired competitive position to the external
market and are determined by a statistical calculation based on external salary survey
data for benchmark jobs in each pay grade. The minimum and maximum of each pay
range represent the minimum and maximum values, respectively, to the university of all
jobs assigned to that particular pay range.
In most cases, up to the top of the first quartile is considered the range of value for a
newly hired employee who meets the minimum qualifications of the job. Thus, most
employees should be hired within the first quartile of the range, but departments have full
authority to hire or promote into non-exempt positions up to midpoint. Hiring exempt
employees above the first quartile or non-exempt employees above midpoint requires
prior approval by the director of human resources.
Hiring employees below the minimum of the pay range is contrary to university policy
and is not permitted. Conversely, the maximum of the pay range is the upper limit of pay
for a job. An employee's rate of pay may not normally exceed the respective maximum
for the job.
Appendix 4
P-22
Review of Pay Structures
Based on findings of the review, a recommendation will be prepared for consideration by
the director of human resources concerning adjustments to the pay structures. The
recommendation will include detailed cost analyses and will be provided to senior
management for consideration.
: As part the budget process each year, the director of human
resources will review the competitiveness of its pay structures. The review will include
(1) comparisons of the competitive status of SFA's midpoints to the relevant external
market; (2) a review of anticipated average movement of pay structures by peer and
comparison organizations.
Pay Above Maximum: If, for any reason, an incumbent's base pay exceeds the maximum
of the grade, the employee's pay will be "red circled". This means that all base pay rate
increases will be given in lump sum form until the employee's base pay rate falls within
range, at which time the incumbent will be eligible for future increases. Any exception to
this policy requires prior approval by the director of human resources.
New Hire Rates
The hiring department has full discretion for placing a new exempt employee's salary rate
within the first quartile and a new non-exempt employee's pay up to midpoint. Hiring
rates in the second and third quartiles for exempt employees and the third quartile for
non-exempt employees require prior approval by the director of human resources. Hiring
rates in the fourth quartile may be established only with the approval of the director of
human resources.
: Employees meeting the minimum qualifications of the job should
normally be paid within the first quartile of the pay range. However, pay rates for new
employees possessing qualifications in excess of the minimum qualifications may be
placed at pay rates above the first quartile, with the appropriate levels of approval.
In determining hiring rates, consideration will be given to the resulting position in the pay
range, whether the rate allows sufficient room for future growth, and relationships to
rates paid to similarly qualified or more experienced employees in the job. External
salary survey data will also be considered, if it is available.
In establishing new hire rates, SFA will continue to comply with all federal and state
rules and regulations, including the Equal Pay Act of 1963, which prohibits pay
differentials on jobs that are essentially equal in terms of skill, effort, responsibility and
working conditions, except when these are the result of a bona fide seniority or merit
system, or any other job-related factor other than gender.
Salary Adjustments: Decisions on all salary adjustments must be implemented in
accordance with legislative requirements. Department heads are also responsible for
Appendix 4
P-23
insuring compliance with all applicable federal and state rules and regulations regarding
compensation.
Annual Salary Budget: Each year as part of the budget planning process, SFA will
prepare a salary budget that specifies the average increase amount, if any, to be given to
employees during the fiscal year. The salary budget will be based on a comparison of the
university's pay rates to external salary survey data, as well as the salary budgets
projected by other peer and comparison organizations. The salary budget will reflect
dollars available to fund general and/or merit increases.
Merit Increases
Merit increases are based on an employee's documented job performance and are
intended to reward individual performance, increased productivity, improved quality,
and/or reduced costs. To be eligible for a merit increase, individuals must have a current
performance appraisal with a rating of fully acceptable or above on file in the human
resources office. Employees receiving an unsatisfactory or needs improvement rating will
not be eligible for a merit increase.
: SFA policies permit the awarding of merit increases on a semi-annual
basis to be effective either on September 1 and/or March 1. Only benefits-eligible
employees who have completed six months of continuous employment at SFA as of the
effective date of the merit program are eligible to receive a merit increase.
Whenever a merit increase program is funded and authorized, the human resources office,
in conjunction with the budget office, will prepare and distribute detailed guidelines to
department heads. The guidelines will include the authorized merit increase amount,
funding requirements, performance level required to be eligible to receive a merit
increase, and other program criteria. Merit increases must be approved by the board of
regents prior to their implementation.
Equity Pay Adjustments
A department head may initiate a pay equity adjustment once per year during the
planning of the budget whenever he or she determines that the present level of
compensation of an employee or group of employees is at a level where:
: The human resources office periodically audits pay rates within
classifications to identify potential pay problems. It is also the responsibility of the
department head to bring to the attention of the director of human resources any
significant pay problems that may exist in their department.
 It results in an unusual level of turnover of employees in the group; or,
 It results in the affected department experiencing significant difficulty in
recruiting candidates to fill vacant positions; or,
Appendix 4
P-24
 It results in a disparity in current paid rates for similarly classified employees in
that unit; or,
 The level of compensation is substantially below the comparable level of
compensation for similar employment outside SFA; and,
 The present level of compensation has substantially reduced the university's
ability to deliver services.
Individual equity increases shall be based on one or more of the following:
 Internal equity
 External competitiveness
 Longevity
 Quartile within salary range
All equity pay adjustments are subject to review and approval by the appropriate vice
president and the director of human resources. Normally, funds for any approved equity
pay adjustment must come from the authorized budget of the affected division.
Promotions
Any promotional increase should raise the employee's pay rate to at least the minimum of
the pay range. Conversely, a promotional increase may not increase the employee's pay
rate above the maximum of the new pay range.
: When an individual is promoted, his or her pay will normally be adjusted to
reflect the new level of responsibility. In isolated situations, when an individual's base
pay rate is at a higher level than rates paid to incumbents, an individual may be granted a
promotion with no change in pay.
The hiring department has full discretion for placing the salary rate of an exempt
employee within the first quartile and the pay rate of a non-exempt employee up to the
midpoint. Recommended promotional increases which fall outside of these parameters
are governed by normal university hiring procedures and approval processes. All
promotional actions must be reviewed by the director of human resources.
In determining recommended promotional increase amounts, the following factors are
considered:
 Rates paid to incumbents in the new position, both within hiring college or
division and in other colleges and divisions throughout the university;
Appendix 4
P-25
 Pay range for the new position and the difference in the number of pay grades
between the old position and the new position;
 Qualifications of the individual versus qualifications of incumbents in the same
job in the college or division;
 External salary survey data, if it is available; and
 Change in FLSA designation or overtime designation; i.e., a change from non-exempt
job to an exempt job.
The affected employee should not be notified of the proposed promotional increase
amount until it has been approved by human resources.
Position Re-evaluations
Re-evaluating a classification to a lower pay grade will not normally result in a reduction
to an employee's pay. Nonetheless, a downgrade will require that if the current pay of any
employee is above the new maximum, the employee's pay will be "red-circled" and all
increases will be withheld until the compensation level is equal to or less than the new
maximum.
: Employees whose jobs are re-evaluated to a higher pay grade
may require adjustments to their base pay rates. Calculations of pay adjustments, if any,
will normally be handled in the same manner as promotions. Any pay adjustment granted
should raise an employee's pay to at least the minimum of the new pay range.
Demotions:
All demotions require prior approval by the director of human resources.
New base pay rates of employees who are demoted to jobs assigned to lower
pay grades will be based primarily on the base pay rates of incumbents in the new
classification. A demotion may or may not result in a reduction in the employee's base
pay rate. The new pay rate, however, must fall within the pay range of the new job. If the
employee's pay falls above the maximum of the new pay range, the employee's pay must
be reduced to at least the maximum of the pay range.
Lateral Reclassifications
Normally, there will be no change to the base pay rate of an employee who is laterally
transferred. Under extraordinary circumstances and in extremely rare situations, an
employee may receive a salary increase on a lateral move. Any increase granted on a
lateral move requires the approval of the director of human resources.
: Lateral reclassifications occur when job responsibilities have
changed, but are similar in scope and responsibilities. The overall job requirements are
comparable in the new job with the same pay grade as the old job.
Appendix 4
P-26
Cross Reference: NoneFair Labor Standards Act, 29 U.S.C. § 201 et. seq.
Responsible for Implementation: Vice President for Finance and Administration
Contact for Revision: Director of Human Resources
Forms: Request for Position Evaluation form; Job Analysis Questionnaire (JAQ)
Board Committee Assignment: Finance and Audit
Appendix 4
P-27
Faculty Development Leaves (E-23A)
Original Implementation: April 26, 1983
Last Revision: January 29, 2008January 25, 2011
Traditionally, a respected and successful meansA traditional means of enhancing
instruction and research in colleges and universities is the faculty developmental leave for
additional study or for research and writing. T. In recognition of the importance of such a
program, the Texas legislature adopted legislation in 1967 in 1967 adopted legislation
permitting such leaves for qualified persons and set forth guidelines for the awarding of
developmental leavesthem. Thise policy and procedures set forth herein by the board of
regents stipulates the conditions under which such leaves may be granted by the Board of
Regents (BOR) for field observations, research, study, writing, or other
scholarly/creative activities.
Faculty Development Leaves should not be used as a mechanism to assist faculty in
completing work for a terminal degree.
to members of the Stephen F. Austin State University (SFASU) faculty.
1.This policy applies to full-time faculty whose duties include teaching, research,
administration, or the performance of professional services. The definition includes
professional librarians but not classified (non-exempt) employees.
Except for special circumstances, fFaculty members as defined above shall be eligible by
reason of service for a developmental leave after at such time as they have served full
time for at least three consecutive years, except for special circumstances.
, at SFASU in an academic position as defined above.
Not more than six percent of university SFASU faculty members may be on faculty
developmental leave at any one time.
The recipient of a developmental leave shall be ineligible to receive another until after
the expiration of four years following the leave. Recipients of faculty developmental
leaves must guarantee the university that they will return to their regular duties, or
others that might be assigned, for a period of at least one year following the expiration of
the leave, provided they are offered a contract by the university.
Applications for faculty developmental leaves shall be reviewed annually by the Faculty
Development Leave Committee which shall be elected by the faculty for staggered two-
Appendix 4
P-28
year terms. The committee shall consist of full-time faculty members, one from each
academic college and one from the library. When an elected member cannot serve, the
college dean shall appoint a substitute.
The committee shall determine the required format of applications and evaluate them. An
applicant for a developmental leave must provide adequate evidence that the leave
activity can be appropriately completed. The committee shall make recommendations to
the provost and vice president for academic affairs and the president, who will make the
final leave recommendation to the BOR.
A faculty developmental leave may be awarded for one long semester at full base salary
or for two long semesters at half the base salary. Payment of salary may be made from
the funds appropriated by the legislature specifically for that purpose or from such other
funds as might be available to the institution.
Upon application by an eligible faculty member, the board of regents may grant
a developmental leave of absence for field observations, research, study, writing, or
other scholarly/creative activities.
Applications for faculty developmental leaves shall be reviewed annually by the
Faculty Development Leave Committee, which shall be elected by the faculty.
The committee shall consist of elected, full-time faculty members, one from each
academic college and the library. The term of election shall be for two years.
Terms shall be staggered. The college dean shall appoint an appropriate substitute
in situations when the elected member cannot serve. The committee shall
determine the required format of applications and shall evaluate them. It shall
make recommendations to the provost and vice president for academic affairs and
the president for further recommendation to the board of regents.
An applicant for a developmental leave must provide adequate evidence that the
leave activity can be appropriately completed.
A faculty developmental leave may be awarded for one long semester at full
base salary or for two long semesters at half the base salary. Payment of salary
may be made from the funds appropriated by the legislature specifically for that
purpose, or from such other funds as might be available to the institution.
8.Faculty members on faculty developmental leave, under law, may accept a grant or
stipend for study, teaching, research, or travel from any institution of higher education or
from a charitable, religious, or educational corporation or foundation, from any business
enterprise, or from any federal, state, or local governmental agency. However, they may
not accept employment from any other person, corporation, or governmental agency,
unless the BOR board of regents determines that it would be in the public interest to do
so and expressly approves the employment. An accounting of all leave funds shall be
made by faculty members to the board of regentsBOR through the provost and vice
president for academic affairs and the president.
9.Faculty Development Leaves should not be used as a mechanism to assist faculty in
completing work for a terminal degree.
Appendix 4
P-29
10.The university shall cause to be deducted from the salary of faculty members on
developmental leave the deposit and membership dues required to be paid by them to the
Teacher Retirement System of Texas or to the Optional Retirement Program or both, the
contribution for Old Age and Survivors Insurance, and any other amounts required or
authorized to be deducted.
11.Faculty members on faculty developmental leaves shall continue to participate in the
programs and receive the benefits (retirement, insurance, and etc.) made available by or
through the university or the state to all other faculty members.
12.The recipient of a developmental leave shall be ineligible to receive another until after
the expiration of four years following the leave.
13.Recipients of faculty developmental leaves must guarantee the university that they
will return to their regular duties or others that might be assigned for a period of at least
one year following the expiration of the leave, provided they are offered a contract by the
university.
14.Faculty members on faculty developmental leaves shall be eligible for salary
increases, merit pay, and all other fringe benefits awarded for the year following the
expiration of the leave.
15.Within ninety days following completion of a faculty development leave, each
recipient will present to the academic unit chair/director, dean, and provost and vice
president a brief written report on the activities and accomplishments resulting from the
leave.
Cross Reference: Faculty Handbook; Texas Education CodeTex. Educ. Code, §sec.
51.101-.108
Responsible for Implementation: Provost and Vice President for Academic Affairs
Contact for Revision: Provost and Vice President for Academic Affairs
Forms: Faculty Development Leave Request Form; Faculty Development Leave
Proposal Format; and Faculty Professional Development Form
Board Committee Assignment: Academic and Student Affairs
Appendix 4
P-30
Fair Labor Standards (E-70)
Original Implementation: February 3, 2005
Last Revision: January 29, 2008January 25, 2011
SFA will comply with the Fair Labor Standards Act (FLSA) and related federal and state
laws. All faculty, staff, and student employees of SFA are covered by the FLSA, although
certain classes of employees are exempt from its overtime pay and minimum wage
requirements. An employee's rights under the FLSA may not be waived. No employee
may agree, even voluntarily, to work in violation of the FLSA.
MINIMUM WAGE PROVISIONS
SFA pays all employees, including student workers, at least the federal minimum wage
prescribed by the FLSA.
DETERMINATION OF EXEMPTION STATUS OF EMPLOYEES
Each employee's overtime pay and minimum wage coverage under the FLSA (exempt,
nonexempt) must be determined on an individual basis in accordance with the terms of
the federal regulations. The director of human resources should be consulted when
questions arise concerning an employee's status under the FLSA.
Nonexempt Employees - Nonexempt employees will be paid only for actual hours
worked
Exempt Employees - Exempt employees are paid on a salary basis and, in general, must
be paid their full salary for any week in which they perform work. Their pay may be
reduced only under the circumstances described below.
unless they receive benefits under the university's leave policies.
Graduate students that are simultaneously performing research under grants and contracts
and are fulfilling the requirements of an advanced degree are exempt from overtime pay
and minimum wage requirements.
OVERTIME
The FLSA and state law govern the handling of overtime work. See SFA Policy and
Procedure Manual: Overtime and Additional Compensation (E-36) for more information.
DEDUCTIONS TO PAY FOR EXEMPT EMPLOYEES
Appendix 4
P-31
Exempt employees are paid on a salary basis and, in general, must be paid their full
salary for any week in which they perform work. Their pay may be reduced only in the
following circumstances:
1. Employees who are absent from work at least one or more full days for sickness
or disability will not be paid for that day unless they have accrued benefits under
SFA's leave policy or disability policy. Their pay will not be reduced if they are
absent for less than a full day because of sickness or disability.
2. Employees who take leave under the Family and Medical Leave Act will not be
paid for that time unless they have accrued benefits under the university's leave
policies. Their pay will be reduced by the hours missed even if it is less than a full
day.
3. Employees who are absent from work for at least a full day for personal reasons
other than sickness or disability will not be paid for that day unless they have
accrued leave available. If an employee is absent for less than a full day for personal
reasons, his or her pay will not be reduced.
4. Employees who are absent from work for jury duty, attendance as a witness at a
trail trial or temporary military leave will have their pay reduced by the amount of
payment they receive in the form of jury fees, witness fees, or military pay. Their
pay will not be reduced by the number of hours or days they are absent from work
unless they perform no work in a given week.
5. If an employee violates a safety rule of major significance, their pay may be
reduced in an amount to be determined by the director of human resources as a
penalty for that violation.
6. Employees may be suspended without pay for other types of workplace
misconduct, but only in full-day increments. Their pay will be reduced in an amount
that is proportionate to the number of days suspended. See the university's policy E-
11, Discipline and Discharge.
7. Employees who work less than 40 hours during their first or last week of
employment will be paid a proportionate part of their full salary for the time actually
worked.
IMPROPER DEDUCTIONS FROM PAY
It is SFA's policy to comply with the salary basis requirements of the FLSA. Therefore,
we the university prohibits all supervisors from making improper deductions from
salaries of exempt employees. SFA wants employees to be aware of this policy and that
the university does not allow deductions that violate the FLSA. If you an employee
believes that an improper deduction has been made to your his or her salary, you the
employee should immediately report this information to your his or her direct supervisor
or the director of human resources.
Appendix 4
P-32
EQUAL PAY FOR EQUAL WORK UNDER THE FLSA
SFA employees are covered by the Equal Pay Act, an amendment to the FLSA, that
prohibits gender-based wage differentials between persons employed in the same location
on jobs that require equal skill, effort, and responsibility and that are performed under
similar working conditions. Jobs need only be substantially equal, not identical, for
comparison purposes. The law permits differences in pay based on factors other than
gender such as bona fide seniority or merit systems or systems that reward productivity.
EMPLOYMENT OF MINORS
The FLSA prescribes at what age and in which types of occupations minors can be
employed. Federal regulations also limit hours of work for certain age groups. A list of
prohibited occupations and other restrictions on employment of minors is available from
the director of human resources.
To protect SFA from an unwitting violation of the age restrictions, human resources must
obtain and keep on file a Minor's Employment Release form (HR-200) if the person
being employed is younger than 18 years of age. In addition, human resources must
obtain and keep on file a Federal Certificate of Age issued by the U. S. Department of
Labor, a state Certificate of Age issued by the Texas Workforce Commission or other
proof of age acceptable to the director of human resources for any person offered
employment when there is any reason to believe the person being employed is younger
than 19 years of age.
ADMINISTRATION
The director of human resources is responsible for administering and answering questions
on the FLSA. Inquiries as well as requests for special exemptions should be submitted to
the director of human resources.
The human resources office is responsible for posting, and keeping posted, notices
pertaining to the applicability of the FLSA. These notices, which can be obtained from
the Department of Labor, are to be displayed in conspicuous places to facilitate
observation by all employees.
The human resources office is also responsible for ensuring that all FLSA- and DOL-required
records are maintained.
APPEAL PROCESS
Appendix 4
P-33
If an employee feels the university has violated any of the above regulations under the
Fair Labor Standards Act the employee may, without prejudice or fear of retaliation,
express his/her appeal to their supervisor or the director of human resources with the
assurance of timely and thorough consideration. Those regulations include the minimum
wage provisions, determination of exemption status of an employee, overtime provisions,
deductions to pay for exempt employees, improper deductions from pay, equal pay for
equal work provision, and the employment of minors. The complaint will be investigated
by human resources and they will render a decision. If the employee is not satisfied with
that decision, they can appeal to the vice president for the area involved who shall obtain
input from the general counsel before making a final decision. If an investigation results
in a determination that improper pay has been awarded, the university will rectify the
under awarded pay amounts through this appeal process. Each employee is assured
freedom from interference, coercion, discrimination and reprisal in filing appeals.
Cross Reference: Fair Labor Standards Act, 29 U.S.C. § 201 et. seq.; Overtime and
Additional Compensation (Policy E-36); Discipline and Discharge (Policy E-11)
Responsible for Implementation: Vice President for Finance and Administration
Contact for Revision: Director of Human Resources
Forms: None
Board Committee Assignment: Finance and Audit
Appendix 4
P-34
Grants and Contracts Administration (A-56)
Original Implementation: August 1, 2000
Last Revision: July 15, 2008January 25, 2011
The effective administration of contracts and grants is an essential operational function.
The provost and vice president for academic affairs establishes and publishes procedures
designed to assure that all research and sponsored programs are conducted in accordance
with university policies and procedures;, with applicable state and federal laws and
regulations;, and with the provisions of the contracts and grants themselves. These
procedures for the administration of grants and contracts are outlined in the Technical
Assistance Manual (TAM) published by the Office of Research and Sponsored Programs
(ORSP).
Deans and academic chairs/directors are responsible for reviewing proposals for grant
proposals and contracts and for assuring that the proposed commitments of unit resources
are feasible and realistic.
Details of external grant and contract awards, including subawards and subcontracts in
excess of $100,000, are presented to the Board of Regents for ratification on a quarterly
basis. Appointments or changes in position for grant funded employees are subject to the
same level of approval as other university employees.
Cross Reference: Policy A-11.5, Conflict of Interest in Sponsored Activities (A-11.5);
Policy A-31.5, Misconduct in Research and Scholarly Activity (A-31.5); Policy A-62,
Human Research Subjects Protection (A-62); Payments to Human Research Subjects (A-
72); Policy E-9, Salary Supplements, Stipends and Additional Compensation (E-9);
Indirect Cost Recovery, Distribution and Use (A-51); Policy A-68, Effort Reporting and
Certification for Sponsored Activities (A-68); Items Requiring Board of Regents
Approval (D-20.5); ORSP Technical Assistance Manual.
Responsible for Implementation: Provost and Vice President for Academic Affairs
Contact for Revision: Provost and Vice President for Academic Affairs; Director, Office
of Research and Sponsored Programs
Forms: OSRP Proposal Clearance Form, Revision Clearance Form, Request for Indirect
Cost Reduction or Waiver, Cost Share Request Form, Request to Establish Account
Banner Fund – External Grants and Contracts, Budget Change Request Form, Additional
Compensation Verification Form, Banner Effort Certification Report Formss for Faculty
and Salaried Employees
Board Committee Assignment: Academic and Student Affairs
Appendix 4
P-35
Resolving Faculty Disagreements in Issues Guarantees Relating
to Matters Oother Than than Termination and Non-Renewal of
Contracts (E-26A)
Original Implementation: April 3, 1979
Last Revision: October 30, 2007January 25, 2011
The resolution of disagreements regarding administrative decisions or other disputes
involving faculty or other personnel, other than dismissal, is to shall be pursued first
initially with the academic unit chair/director. If the matter is not, or cannot be,
satisfactorily resolved at that level, the faculty member may put the disagreement in
writing the disagreement and submit it to the college dean, along, with a copy to the
academic unit chair/director.
The college dean will shall consult with the faculty member and the academic unit
chair/director in an effort to resolve the disagreement. The dean may consult with any
others deemed to have insight into the matter. If the matter is not, or cannot be,
satisfactorily resolved at that levelby the dean, the faculty member may request that it be
referral of appeal the issue referred to the provost and vice president for academic affairs
(VPAA).
The provost and vice president for academic affairs VPAA will shall consult with the
faculty member(s), the academic unit chair/director, and the college dean, and any others
with insight into the matter. in an effort to resolve the disagreement. The provost and
vice president may consult with others deemed to have insight into the matter. If the
matter is not, or cannot be, satisfactorily resolved at that levelby the provost and VPAA,
the faculty member may request that it be referred appeal the issue either to the
presidentto a subcommittee of the University Grievance Panel or directly to the
president, depending on the nature of the dispute.
Employment Disputes
The appeal shall be forwarded from the provost and VPAA to the grievance panel at the
faculty member’s request only if the disagreement involves an allegation that conditions
of employment under university policy have been violated. This process shall operate
under the following guidelines:
1. An advisory subcommittee of the University Grievance Panel shall review the
evidence. The subcommittee shall be composed of five members, with two
members selected by the faculty member, two by the president or the
president's designee, and one selected at random. Each party shall have one
challenge without stated cause.
Appendix 4
P-36
2. Once constituted, the subcommittee shall establish its procedures for
resolving the dispute.
3. When the subcommittee has made its determination, it shall advise the
president and the faculty member of its findings in writing.
4. The president shall review the subcommittee’s report, consult with the faculty
member(s) and any others with insight into the matter, and render a decision
that shall be final.
All Other Disputes
In situations that do not implicate conditions of employment, an appeal from the provost
and VPAA shall be forwarded directly to
Tthe president who will shall consult with the faculty member(s), the academic unit
chair/director, the college dean, and the provost and vice president for academic affairs
VPAA and any others with insight into the matter.
. in an effort to resolve the disagreement. The president may consult with others deemed
to have insight into the matter. In all cases, tThe decision of the president is final and will
shall be communicated to the faculty member in writing within a reasonable time through
appropriate administrative channels.
If the disagreement under review is an allegation that university policy regarding the
faculty member's conditions of employment have been violated, the faculty member may
request that prior to the president's final determination the matter be heard by a
subcommittee of the University Grievance Panel.
1.Advisory subcommittee of the University Grievance Panel to hear the evidence will
be composed of five members selected as follows from the University Grievance
Panel: two members selected by the faculty member, two by the president or the
president's delegate, and one by lot. Each party will have one challenge without
stated cause.
2.Once constituted, the advisory subcommittee will organize itself to carry out its
responsibilities and establish its procedures.
3.When the advisory subcommittee has made its determination as to whether and to
what extent university policy with regard to the faculty member's conditions of
employment have been violated, it will advise the president and the faculty
member of its findings.
4.The president will review the report of the advisory subcommittee and will consult
with the faculty member, the academic chair/director, the college dean, and the
provost and vice president for academic affairs in an effort to resolve the issue.
The president may consult with others deemed to have insight into the matter. The
decision of the president is final and will be communicated to the faculty member
in writing within a reasonable time through appropriate administrative channels.
Appendix 4
P-37
Cross Reference: Faculty Handbook, Grievance and AppealsPolicy (E-25N)
Responsible for Implementation: President
Contact for Revision: President
Forms: None
Board Committee Assignment: Academic and Student Affairs
Appendix 4
P-38
Instructor-generated Materials (A-22.1)
Original Implementation: September, 1990
Last Revision: January 30, 2007January 25, 2011
"Instructor-generated materials" generally refers toare coursepacks or other such class
materials that are intellectual property compilations that must be purchased by students.
and are intended for sale. They are not merely handouts, nor are they copies, textbooks,
or trade books. published by a commercial or university press. Copies of handouts
distributed in class are provided to students and paid for by course fees. Published
textbooks or trade books must be sold through bookstores. Under no circumstances, may
faculty members sell instructor-generated or other academic materials directly to
students. I The instructor-generated materials may only be then be sold through the
university bookstore or off-campus vendors.
The University andF faculty member(s) and the university will negotiate a royalty
agreement in advance of the sale of instructor-generated materials in the university
bookstore to properly compensate the faculty member(s) for their time, effort, and
intellectual property, unless it was a work-made for hire. See Intellectual Property,
Policy D-20. The university shall not be responsible for royalties or other financial
benefits on instructor-generated materials sold by off-campus vendors.
The faculty member(s are responsible for ) shall retain the right to assemblinge, editing,
and amending their intellectual property that is suitable for instruction and/or sale, and
that may be as necessary, subject to a department or /college review. , to determine
whether the general quality of scholarship renders the material suitable for instruction
and/or sale. No departmental or /college review shouldmay infringe upon the academic
freedom of the faculty member(s) who created the instructor-generated materials.
The General Fair Use Guidelines as described in Copyrighted Works Reproduction,
Policy A-12, are applicable to instructor-generated materials.
Copyright notices, appropriate citations and attributions should be included. The faculty-staff
member who compiles the instructor-generated materials shall be responsible for
complying with these guidelines. Permission must be obtained for materials that will be
repeatedly used by the same instructor for the same class. Using a commercial copy shop
Appendix 4
P-39
does not necessarily relieve the creator of instructor-generated materials of liability,
unless the Fair Use Guidelines are followed or the copy shop pays appropriate royalties.
Campus copy centers are not permitted to copy such materials, unless these guidelines are
followed.
Cross Reference: Faculty Handbook, ; University Policies: D-20, Intellectual Property
(D-20),; and A-12, Copyrighted Works Reproduction (A-12),; and Academic Freedom
and Responsibility (A-2.5)
Responsible for Implementation: Provost and Vice President for Academic Affairs
Contact for Revision: Provost and Vice President for Academic Affairs
Forms: None
Board Committee Assignment: Academic and Student Affairs
Appendix 4
P-40
Insurance and Other Benefits (E-28)
Original Implementation: Unpublished
Last Revision: October 12, 2009January 25, 2011
Employee insurance and benefits include the following: Benefits-eligible employees are
offered a basic insurance plan, which is fully funded by the state for full-time employees
and is funded at one-half of the premium for part-time employees. The basic plan
includes hospitalization insurance, $5,000 term life insurance and $5,000 accidental death
and dismemberment insurance. Enrollment in health insurance coverage may be subject
to a 90-day waiting period for employees hired on or after September 1, 2003. The 90-
day health coverage waiting period does not apply to:
1. Employees enrolled in COBRA health coverage under the Texas Employee's
Group Benefit Program at the time they are hired, if there is no break in coverage.
2. Enrollment in the optional coverage during the first 30 days of employment,
including Tex Flex accounts.
3. Direct transfers from one agency to another (employees rehired without a break in
coverage), including direct transfers from UT or Texas A&M, if there is no break in
coverage.
4. An employee who has health insurance as a dependent of another Group Benefit
Plan member when hired.
Each employee must elect to enroll or waive this plan within the first 31 days of
employment. If a Multipurpose Form is not completed, the full-time employee will be
enrolled in the basic plan, and may be subject to the 90-day waiting period. Part-time
employees and graduate assistants are not eligible for automatic enrollment. These
employees must complete the Multipurpose Form within thirty-one (31) days of the first
active duty date.
An employee does not have to participate in the basic plan to apply for optional
coverage(s). There is no waiting period for optional coverage.
Group Hospitalization Insurance
1. A major medical health/hospitalization plan is provided, based on residency or
work zip code, and/or a choice of HMO, (when available).
Employees may select from hospitalization categories shown below:
Coverage Category
Employee
Appendix 4
P-41
Employee & Child/Children
Employee & Spouse
Employee & Family
Details on coverage and rates are available from the Benefits Office in Human
Resources (HR) or at the web site: www.ers.state.tx.us.
2. Application for coverage for employees and their dependents must be made in the
first 31 days of employment. Employees may change their health coverage selection
at any time during the 90-day waiting period.
3. Continuation of coverage upon termination of employment is allowed by federal
law with specific limitations. All separating employees will be informed of their
right to continue coverage during their exit interview in Human Resources. COBRA
forms will be mailed by the Employee Retirement System of Texas to the home
address of the terminating employee and/or covered dependents for completion.
Covered dependents also are eligible for continued coverage following certain
qualifying events such as divorce, death of the employee, attainment of maximum
age of coverage for children, etc. An employee or the covered dependent must notify
the Benefits Office within thirty (30) days of the qualifying event date. Questions
concerning procedure and benefits should be directed to the Benefits Office in
Human Resources.
Group Term Life Insurance
1. Optional Term Life Insurance. Coverage of up to twice the annual salary may be
selected within thirty-one (31) days of employment. Evidence of insurability must
be provided for Election III or Election IV.
Coverage Amount:
2. Dependent Life Insurance. Coverage is available to all employees insured under
the Texas Employee's Group Benefit Program. Coverage includes the spouse of the
employee and each unmarried child from the age of 14 days to 25 years in the
Election I - 1 times annual salary
Election II - 2 times annual salary
Election III - 3 times annual salary
Election IV - 4 times annual salary
Coverage is reduced at age 70 for active employees based on the carrier's standard
reduction schedule.
Monthly Premium Cost. The monthly premium cost is based on age and salary on
September 1 of the current fiscal year.
Appendix 4
P-42
amount of $5,000 life and $5,000 AD&D. Application for coverage must be made
within thirty-one (31) days from the date of employment, or dependent's eligibility
date; otherwise evidence of insurability is required.
Long-Term Disability
Long-term disability insurance is available to benefits-eligible employees. This benefit
will pay 60 percent of the employee's monthly salary (maximum salary $10,000) after a
90-day waiting period in the event the employee is disabled because of injury or illness.
The monthly benefit will be integrated with Workers Compensation, Social Security
Disability, Teacher Retirement Disability, and/or any disability benefit. Maximum
benefit, if integration is used, is 70 percent of insured monthly salary. Minimum benefit,
if integration is used, is 10 percent of monthly salary for one year. The following age and
time limits apply:
Age When Disability Starts Maximum Duration of Benefits
Under age 60 Age 65
Age 60, but less than age 64 60 months
Age 65 - 69 Age 70 or 12 mos. (the greater)
Short-Term Disability
Short-term disability is available to benefits-eligible employees. This benefit will pay 66
percent of the employee's monthly salary (maximum salary $10,000) after a thirty (30)
day waiting period, for up to five months in the event the employee is disabled because of
injury or illness. The monthly premium cost is based on the current rate per $100 of
monthly salary. Application for this coverage must be made within thirty-one (31) days
of employment; otherwise evidence of insurability is required during summer enrollment.
Accidental Death and Dismemberment Benefits
Benefits eligible employees have the option of participating in the AD&D program. This
coverage is available starting at $10,000 in increments of $5,000 up to $200,000. After
age 70, minimums and maximums are reduced. Double coverage of dependent children
will be allowed, if both parents are Group Benefit Plan employees. The monthly premium
is based on current rate per $1,000 of coverage. Application for this coverage must be
made within thirty-one (31) days of employment or could be added during the summer
enrollment period.
Dental Insurance
Appendix 4
P-43
Benefits-eligible employees may elect to participate in either of the two group dental
insurance programs. If application for coverage is not made within thirty-one (31) days of
employment, dental plan benefits cannot be acquired until the beginning of the next plan
year and enrollment forms must be completed during the summer enrollment period.
Cancer Care
Benefits eligible employees may elect to participate in cancer-care coverage. Employees
should contact the insurance company representative to make an application.
Long Term Care
A long term care plan is offered by Employees Retirement System of Texas to active
employees and their families through CNA Insurance. The active employee may enroll at
the time of employment (or within 31 days), without evidence of insurability. However,
any family members must go through evidence of insurability to enroll in the plan. For
information, or to sign up, go to www.ers.state.tx.us or call CNA at (877) 895-6762.
Retiree Insurance Coverage
University employees may continue their health insurance coverage providing they have
10 or more years of creditable service, have been covered under the Texas Employee's
Group Benefit Program, for at least three years prior to September 1, 2001, or 10 years,
after September 1, 2001, and meet the criteria for retirement benefits. Beginning
September 1, 2003, the qualification for retiree insurance is age 65, or age plus years of
service equals 80. Those who become totally disabled are entitled to participate in retiree
insurance coverage, if they meet the criteria (age 65, or age plus years of service equals
80). The state will continue to fund the amount funded prior to retirement toward retiree
and dependent coverage. A thirty-one- (31) day enrollment period is provided for persons
retiring or qualifying for retiree insurance coverage. If employed at the time of
retirement, and eligible for insurance benefits, there will be no waiting period for
enrollment in the health plan. However, if the retiring member is not in an active status at
the time of reaching eligibility for retiree insurance, (age 65 or age plus years of service
equal to 80), there will be a ninety-day (90) waiting period for participation in the health
plan.
Complete information will be made available to all qualified retirees by Human
Resources prior to their date of retirement.
Social Security
Appendix 4
P-44
All employees of the university are covered by the Federal Insurance Contribution Act
(FICA). Currently, the employee contributions are broken down as follows:
6.20 4.20 percent % of base salary of $106,800 for in 2009 2010 for Old Age and
Survivor's and Disability Insurance (OASDI);
1.45 percent % of base salary for Medicare (MQFE).
This information is based on the Year 2009 2010 rates and limits.
Flexible Benefit Plan
Benefits eligible employees may participate in the Flexible Benefit Plan established in
accordance with Section 125 of the Internal Revenue Code. The plan permits employees
to pay for certain eligible expenses with pre-tax money.
Through this plan, participants are automatically enrolled in Redirection of Insurance
Premiums. Allowable insurance premiums will be paid with pre-tax money, with the
exception of Short-Term Disability, Long-Term Disability and Dependent Life.
T

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Transcript

Stephen F. Austin State University MINUTES OF THE BOARD OF REGENTS Nacogdoches, Texas January 24 and 25, 2011 Meeting 266 TABLE OF CONTENTS BOARD MINUTES FOR JANUARY 24 AND 25, 2011 MEETING 266 Page APPROVAL OF MINUTES Approval of Minutes from Board Meetings on October 17 and 18, 2010; December 17, 2010 and January 14, 2011 ..................................................................................................3 Board Order 11-08 PERSONNEL Faculty Appointments for 2010-2011..................................................................................3 Board Order 11-09 Staff Appointments for 2010-2011 ......................................................................................4 Changes of Status for 2010-2011.........................................................................................5 Retirements ......................................................................................................................6 BUILDING AND GROUNDS Campus Master Plan Request for Qualifications .................................................................6 Board Order 11-10 Operational Restoration Services.........................................................................................6 Naming of Gayla Mize Garden............................................................................................7 Board Order 11-11 FINANCIAL AFFAIRS Approval of the Fiscal Year 2009-2010 Annual Financial Report ......................................8 Board Order 11-12 Approval of the SFA Charter School Fiscal Year 2009-2010 Annual Financial Report ......................................................................................................8 Resolution to Acknowledge Review of Investment Policy and Strategy ............................8 Resolution to Approve Qualified Financial Institutions and Investment Brokers...............9 Grant Awards 10..................................................................................................................9 State Appropriation Reduction ............................................................................................9 UNIVERSITY POLICIES AND PROCEDURES Policy Revisions.................................................................................................................10 Board Order 11-13 Assignment of University Policies to Committees of the Board .......................................10 Board Order 11-14 REPORTS President Audit Services Report Faculty Senate Student Government Association APPENDICES Appendix 1 – Resolution to Acknowledge Review of Investment Policy and Strategy Appendix 2 – Resolution to Approve Qualified Financial Institutions and Investment Brokers Appendix 3 – Grant Awards Appendix 4 – Policy Revisions Academic Chair/Director Appointment (E-6A) Academic Space for Non-Academic Activities (B-2) Austin Building Conference Rooms (B-3) Best Value Procurement (C-7) Budget Change and Additional Appropriation (C-4) Central Receiving (F-6) Compensation Plan for Classified and Non-Classified Staff (E-68) Faculty Development leaves (E-23A) Fair Labor Standards (E-70) Grants and Contracts Administration (A-56) Guarantees Relating to Matters Other Than Termination (E-26A) Instructor-generated Materials (A-22.1) Insurance and Other Benefits (E-28) Investments (C-41) Investments-Endowment Funds (C-41A) Items Requiring Board of Regents Approval (D-20.5) New Employee Orientation (E-33.1) Part-time Faculty (E-37A) Performance Evaluation of Tenured Faculty (A-37.1) Personnel Action Request (E-39) Prompt Payment to Vendors and Employees (C-25.1) Proprietary Purchases (C-26) Purchase of Electronic and Information Resources (C-62) Purchase of Surplus Property (C-28) Retirement Programs (E-43) Safe and Vault Combinations (D-29) Semester Grades (A-54) Student Employment (F-26) Student Media (D-44) Student Service Fee Allocations (F-28) Student Travel (D-48) Teacher Preparation (A-6) University Awards Programs (A-66) Working Hours and Holidays (D-40) Appendix 5 – Gayla Mize Garden -1- Stephen F. Austin State University Minutes of the Meeting of the Board of Regents Nacogdoches, Texas January 24 and 25, 2011 Austin Building 307 Meeting 266 Monday, January 24, 2011 The regular meeting of the Board of Regents was called to order in open session at 9:00 a.m. Monday, January 24, 2011, in the Austin Building Board Room by Chair Melvin White. PRESENT: Board Members: Mr. Melvin White, Chair Mr. Carlos Amaral Mr. Richard Boyer Dr. Scott Coleman Mr. James Dickerson Ms. Valerie Ertz Mr. Bob Garrett Ms. Sydni Mitchell Mr. Steve McCarty President: Dr. Baker Pattillo Vice-Presidents: Dr. Richard Berry Mr. Danny Gallant Mr. Steve Westbrook General Counsel: Mr. Damon Derrick Other SFA administrators, staff, and visitors Regent James Thompson joined the meeting at 1:40 p.m. The Building and Grounds Committee convened at 9:05 a.m. and adjourned at 10:00 a.m. The Finance and Audit Committee convened at 10:20 a.m. and adjourned at 11:30 a.m. The Academic and Student Affairs Committee convened at 1:40 p.m. and adjourned at 3:28 p.m. The chair called for an executive session at 3:45 p.m. to consider the following items: -2- Deliberations Regarding the Purchase, Exchange, Lease, Sale or Value of Real Property (Texas Government Code, Section 551.072) • Possible Real Estate Purchase Consultation with Attorney Regarding Legal Advice or Pending and/or Contemplated Litigation or Settlement Offers, including but not limited to, In Re: Dr. and Mrs. J.E. Watkins Scholarship Trust, HIPAA and federal immigration law compliance and/or issues (Texas Government Code, Section 551.071) Consideration of Individual Personnel Matters Relating to Appointment, Employment, Evaluation, Assignment, Duties, Discipline, or Dismissal of an Officer or Employee, including but not limited to football coaches, vice presidents and the president (Texas Government Code, Section 551.074) Deliberations Regarding Negotiated Contracts for Prospective Gifts or Donations (Texas Government Code, Section 551.073) • Possible Naming Opportunity The executive session ended at 7:15 p.m. and the board meeting was recessed for the evening with no further action. Tuesday, January 25, 2011 The chair reconvened the board meeting in open session at 9:00 a.m. on Tuesday, January 25, 2011. PRESENT: Board Members: Mr. Melvin White, Chair Mr. Carlos Amaral Mr. Richard Boyer Dr. Scott Coleman Mr. James Dickerson Ms. Valerie Ertz Mr. Bob Garrett Ms. Sydni Mitchell Mr. Steve McCarty Mr. James Thompson President: Dr. Baker Pattillo Vice-Presidents: Dr. Richard Berry Mr. Danny Gallant Mr. Steve Westbrook General Counsel: Mr. Damon Derrick -3- Other SFA administrators, staff, and visitors Regent Boyer led the pledge to the flags and Regent McCarty provided the invocation. The Finance and Audit Committee reconvened and agreed to recommend Agenda Item 15, State Appropriation Reduction, for approval to the full board. Reconvening in a committee of the whole, the board provided special recognitions. RECOGNITIONS Danny Gallant introduced the HR Axcess Implementation Team; Ric Berry introduced students from the Rose Bruford College in England and finalists from the National Association of Teachers of Singing in the Texoma Region. Robert Hill introduced the 2010 Lumberjack Football Team. APPROVAL OF MINUTES BOARD ORDER 11-08 Upon motion by Regent Coleman, seconded by Regent McCarty, with all members voting aye, it was ordered that the minutes of the October 17 and 18, 2010, regular meeting of the Board of Regents and the December 17, 2010, and January 14, 2011, special meetings of the Board of Regents be approved as presented. PERSONNEL BOARD ORDER 11-09 Upon motion by Regent Dickerson, seconded by Regent Boyer, with all members voting aye, it was ordered that the following personnel items be approved. FACULTY APPOINTMENTS FOR 2010 – 2011 CHEMISTRY Darrell Fry, Assistant Professor of Chemistry, Ph.D. (University of Arkansas), at an academic year of $55,000 for 100 percent time, effective September 1, 2011. GOVERNMENT Wendi Pollock, Assistant Professor of Government, Ph.D. (Sam Houston State University), at an academic year salary of $46,000 for 100 percent time, effective September 1, 2011. -4- LIBRARY Kyle Ainsworth, Special Collections Librarian II, MLIS (University of Southern Missisissippi), at an annual salary of $45,000 for 100 percent time, effective January 3, 2011. Gregory Bailey, Librarian I, MLS (Indiana University), at an annual salary of $40,950 for 100 percent time, effective January 17, 2011. STAFF APPOINTMENTS FOR 2010 – 2011 ATHLETICS Kurt Corbin, Assistant Football Coach, at a 10.5 month salary of $58,000 for 100 percent time, effective February 1, 2011. James Fredenburg, Assistant Football Coach, at a 10.5 month salary of $30,720 for 100 percent time, effective February 1, 2011. David Gibbs, Assistant Football Coach, at a 10.5 month salary of $82,139 for 100 percent time, effective February 1, 2011. James C. Harper, Head Football Coach, at an annual salary of $142,000 for 100 percent time, effective February 1, 2011. Brandon North, Assistant Football Coach, at a 10.5 month salary of $32,000 for 100 percent time, effective February 1, 2011. Michael Nesbitt, Assistant Football Coach, at a 10.5 month salary of $76,000 for 100 percent time, effective February 1, 2011. Arlington Nunn, Assistant Head Football Coach, at a 10.5 month salary of $71,843 for 100 percent time, effective February 1, 2011. Todd Schonhar, Assistant Football Coach, at a 10.5 month salary of $65,460 for 100 percent time, effective February 1, 2011. Bruce Erik Slaughter, Assistant Football Coach, at a 10.5 month salary of $58,000 for 100 percent time, effective February 1, 2011. Harold Christopher Truax, Assistant Football Coach, at a 10.5 month salary of $72,176 for 100 percent time, effective February 1, 2011. Jacob Willingham, Assistant Football Coach, at a 10.5 month salary of $32,000 for 100 percent time, effective February 1, 2011. -5- CENTER FOR REGIONAL HERITAGE RESEARCH Angela Ford, Grant Specialist, at an annual salary of $40,300 for 100 percent time, effective November 29, 2010. FORESTRY Jason Grogan, Temple Research Specialist, at an annual salary of $46,000 for 100 percent time, effective December 1, 2010. PHYSICAL PLANT Allen Singleton, Coordinator of Building Management System, at an annual salary of $50,000 for 100 percent time, effective October 11, 2010. RESIDENCE LIFE Bridgit Breslow, Area Coordinator, at an annual salary of $32,000 for 100 percent time, effective November 15, 2010. STUDENT CENTER Ralph LaRue, Associate Director for Student Center, at an annual salary of $53,000 for 100 percent time, effective October 25, 2010. UNIVERSITY POLICE DEPARTMENT Jane Wilcox, Director of Parking, at an annual salary of $65,000 for 100 percent time, effective January 1, 2011. CHANGES OF STATUS FOR 2010 – 2011 LIBERAL AND APPLIED ARTS Luis Aguerrevere, from Instructor of Psychology at an academic year salary of $43,000 for 100 percent time, to Assistant Professor of Psychology at an academic year salary of $46,000 for 100 percent time effective January 1, 2011. SCIENCES AND MATHEMATICS Linda Boozer, from Administrative Assistant at an annual salary of $37,720 for 100 percent time, to Stem Center Coordinator at an annual salary of $48,000 for 100 percent time, effective December 1, 2010. -6- Robin Sullivan, from Adjunct Faculty at an academic year salary of $17,000 for 100 percent time, to Lecturer of Mathematics and Statistics at an academic year salary of $38,500 for 100 percent time, effective January 19, 2011. PUBLIC AFFAIRS Roni Lias, from Webmaster for Academic Affairs at an annual salary of $42,435 for 100 percent time, to Web Developer/Designer for Public Affairs at an annual salary of $38,000 for 100 percent time, effective November 15, 2010. RETIREMENTS The following retirements were accepted: Ronnie Barra, Professor of Kinesiology, effective December 17, 2010. Philip Blackburn, Scientific Equipment Specialist, effective January 31, 2011. Melane McCuller, Instructional Media Specialist, effective September 30, 2010. Mary Beth Smith, Associate Director of Admissions, effective February 4, 2011. BUILDING AND GROUNDS BOARD ORDER 11-10 Upon motion by Regent Dickerson, seconded by Regent Boyer, with all members voting aye, it was ordered that the following building and grounds items be approved. CAMPUS MASTER PLAN REQUEST FOR QUALIFICATIONS WHEREAS, the Board of Regents considered the following: The university has completed many project initiatives in the current campus master plan. It is time to begin the process of developing a new campus master plan. The university would like to submit a request for qualifications (RFQ) to solicit proposals from firms who engage in infrastructure master plans. THEREFORE, the Board of Regents authorized the university to issue an RFQ for campus master planning purposes, analyze the responses and bring a group of finalists back to the board for a selection. OPERATIONAL RESTORATION SERVICES WHEREAS, the Board of Regents considered the following: As a part of operational continuity planning, the university solicited proposals for emergency response support services for unexpected events involving chemical emissions, wind, water, fire, smoke, or other types of occurrences. The expectation in the solicitation was that an emergency response firm would be able to respond immediately if emergency support services were -7- needed. The university’s expectation was also that the firm would be on standby if emergency support services were needed. THEREFORE, it was ordered that the university contract with Mooring Recovery Services to provide restoration in the event of damages to SFA property in the form of chemical emissions, wind, water, fire, or smoke. Mooring Recovery Services has agreed to prioritize the university’s needs in an emergency event and will respond immediately to provide restorative services. President Pattillo introduced special guests, Ray Mize and his children, son Jimmy Mize and his wife Lisa and daughter Lysa Hagan and her husband Bill, who were present to be recognized by the following motion: Board Order 11-11 Upon motion by Regent McCarty, seconded by Regent Coleman, with all members voting aye, it was ordered that the following building and grounds item be approved: NAMING OF GAYLA MIZE GARDEN WHEREAS, the board considered the following: In accordance with Board Rules and Regulations, buildings and other facilities may be named for persons, both living and deceased, who make a significant donation to the university. The board will consider the appropriate naming of a plot of ground within the SFA Gardens. THEREFORE, the Board of Regents adopted the appropriate gift agreements to name the eight acre tract of land along University and Starr Avenue, identified in Appendix 5, within the SFA Gardens and the following resolution: WHEREAS, Ray and the late Gayla Mize, along with their children, Lysa and Jimmy, are among the loyal supporters of the gardens at Stephen F. Austin State University; and WHEREAS, Ray and the late Gayla Mize worked tirelessly giving of their time, talents and resources to create, grow and improve the gardens at Stephen F. Austin State University; and WHEREAS, the late Master Gardener Gayla Mize passed away on February 22, 2009; and WHEREAS, the Mize Family have faithfully served and continue to serve Stephen F. Austin State University with distinction and honor as dedicated friends; and WHEREAS, in their loyal dedication to Stephen F. Austin State University and their generous spirit of service and standards of excellence, they have set a distinguished example for others; -8- NOW, THEREFORE, LET IT BE RESOLVED, the Board of Regents expresses its admiration, gratitude and high regard for Ray, Gayla and their children by naming a plot of ground within the gardens located on the campus the Gayla Mize Garden. FINANCIAL AFFAIRS Board Order 11-12 Upon motion by Regent Garrett, seconded by Regent Boyer, with all members voting aye, it was ordered that the following financial items be approved: APPROVAL OF THE FISCAL YEAR 2009-2010 ANNUAL FINANCIAL REPORT WHEREAS, the board considered the following: On November 20, 2010, the Stephen F. Austin State University Annual Financial Report for the fiscal year that ended August 31, 2010, was submitted to the Governor, the Comptroller of Public Accounts, the Legislative Budget Board, the Texas Higher Education Coordinating Board, the Legislative Reference Library, the Texas State Library and the Texas State Auditor’s Office as required by state law. THEREFORE, it was ordered that the August 31, 2010, Stephen F. Austin State University Annual Financial Report be approved as submitted. APPROVAL OF THE SFA CHARTER SCHOOL FISCAL YEAR 2009-2010 ANNUAL FINANCIAL REPORT WHEREAS, the board considered the following: The Texas Education Agency requires a separate audit for the SFA Charter School. The SFA Charter School Annual Financial Report for the fiscal year that ended August 31, 2010, will be submitted to the Texas Education Agency by January 31, 2011. THEREFORE, it was ordered that the August 31, 2010 SFA Charter School Annual Financial Report be approved as presented. RESOLUTION TO ACKNOWLEDGE REVIEW OF INVESTMENT POLICY AND STRATEGY WHEREAS, the board considered the following: In accordance with the Texas Public Funds Investment Act, the university’s investment policy and strategy must be annually reviewed by the governing board of the institution. In addition, the law requires the governing body to adopt a written instrument by rule, order, ordinance or resolution stating that it has reviewed the investment policy and strategy. The resolution, included in Appendix 1, acknowledges the board’s annual review of Policy C-41, Investments. Policy C-41 is included in the Policy Revisions, Appendix 4. -9- THEREFORE, the Board of Regents approved the Resolution to Acknowledge Review of Investment Policy and Strategy, as presented in Appendix 1. RESOLUTION TO APPROVE QUALIFIED FINANCIAL INSTITUTIONS AND INVESTMENT BROKERS WHEREAS, the Board of Regents considered the following: The Texas Public Funds Investment Act requires the university to adopt a resolution by the governing body of the institution that approves qualified investment brokers. The following brokers/investment managers are listed in the resolution, submitted in Appendix 2: Merrill Lynch, Inc.; iShares Russell 1000 Value; Eaton Vance LCV; Jennison LCV; MFS LCV; Schafer Cullen LCV; Aletheia LCV; Neuburger Berman LCG; iShares Russell 1000 Growth; Aletheia LCG; Fayez LCG; Janus LCG; Fred Alger Smith Growth; TIS Group SCC; iShares Russell 2000; iShares Russell Microcap; CS McKee SCC; Fifth Third Small Cap Value; London Co SCC; iShares MSCI EAFE Index Fund; Neuberger Berman Intl Core; Lazard International w/Emerging Markets; MFS Intl Growth; Cadence SCG-MAA; ING Investment Management; Merrill Lynch Alternative Investments LLC; The Endowment Fund; Citizens 1st Bank; Austin Bank; BancorpSouth; Commercial Bank of Texas NA; First Bank and Trust; Regions Bank; Regions Morgan Keegan Trust; US Bank, Texas Bank; Texpool and Texstar. THEREFORE, the Board of Regents approved the financial institutions, investment managers and brokers presented in Appendix 2. GRANT AWARDS WHEREAS, the board members considered the following: Since the fiscal year 2010-2011 budget was approved, the university has received grant awards that total $ 43,987,320. Those include multi-year awards and represent a total increase of $3,130,293 since the last report. Total grant awards allocable to fiscal year 2011 are $17,215,063. That total represents an increase of $1,583,564 since the last report. The grant awards result from extensive faculty research and service engagement across many academic disciplines. The grants include direct federal, federal pass through, state and private awards. THEREFORE, the additional fiscal year 2011 grant awards that total $3,130,293 were approved and ratified. This includes approval of a $204,471 subaward to the Lone Star College System to coordinate statewide professional development activities for the Advanced Technical Credit project funded through the Texas Education Agency. The grant awards are detailed in Appendix 3. STATE APPROPRIATION REDUCTION WHEREAS, the Board of Regents considered the following: On December 6, 2010, the governor, lieutenant governor, and speaker of the house sent a joint letter to state agency heads directing each to reduce state appropriations by an additional 2.5% for fiscal year 2010-11. The 2.5% reduction is in addition to a 5% biennial reduction that was directed by the state leadership on January 15, 2010. -10- On December 22, 2010, the Legislative Budget Board informed the university that its 2.5% state appropriation reduction amount for fiscal year 2010-11 was $1,025,003. The university proposes to address the reduction by reducing salary and other institutional expenditures. A salary expenditure reduction of $600,000 will be realized by instituting a four-day staff furlough on the following days: April 21, April 22, May 27, and July 1. Additional savings may be realized by closing the university for these same four days. Leave-eligible employees will be allowed to expend leave time for the required furlough days, or go on leave without pay. The disruption to the academic mission will be minimized as classes are not scheduled on April 21, April 22 and July 1. The MayMester schedule will be adjusted to address the May 27 date. The remaining $425,003 will be reduced on a pro-rated divisional basis. THEREFORE, the Board of Regents approved the state appropriation reduction as presented and authorized the president to close the university and furlough leave-eligible employees on April 21, April 22, May 27, and July 1. Furloughed employees classified by the university as “exempt” shall be allowed to expend vacation time for furlough days, while furloughed employees classified as “non-exempt” shall be allowed to expend vacation and/or compensatory time. Furloughed employees without appropriate leave time accrued, or those who choose not to use leave time, will be placed on leave without pay status. Personnel essential to the operation of the university required to work during the furlough days must expend four days of appropriate leave time prior to August 31, 2011. UNIVERSITY POLICIES AND PROCEDURES Board Order 11-13 Upon motion by Regent Garrett, seconded by Regent Dickerson, with all members voting aye, it was ordered that the policy revisions as presented in Appendix 4 be adopted. Board Order 11-14 Upon motion by Regent Garrett, and seconded by Regent Dickerson, with all members voting aye, it was ordered that the Board of Regents authorize the administration to assign each policy currently contained in the university policy manual to the appropriate committee of the board which oversees that area of operation and to add such designation to each policy. REPORTS President Pattillo reported on the following: • Significant Dates • January 31 and February 1: visit by Dr. Lynwood Rose for SACS reaccreditation. • February 16: Nacogdoches/SFA Day in Austin • March 1-3: SACS Accreditation Team • Southern Association of Colleges and Schools -11- • Legislative Session Update • Vice President Steve Westbrook has been awarded an Ed.D. from Texas A&M at Commerce Gina Oglesbee, director of audit services, offered a report on the following topics: • SFA Charter School Financial Audit • National Collegiate Athletic Association Compliance Review • Southern Association of Colleges and Schools Financial Review • American Recovery and Reinvestment Act Audit • Update on Audit Plan Dr. Ken Collier, chair of the Faculty Senate, presented a report entitled “Moving Ahead with Smaller Budget.” Mr. Andy Teel, president of the Student Government Association, presented a report on the following topics: • SFA Way Update: Spring Promotion Plans • SFA vs. SHSU Volunteer Project • Spring Election Dates ELECTION OF BOARD OFFICERS 2011-2012 Regent Coleman, chair of the Nominating Committee, brought a report from the Nominating Committee. Upon motion by Regent Coleman, seconded by Regent Boyer, with all members voting aye, the following board members were elected as officers for 2011-2012 and will take office on April 19, 2011: Chair: Bob Garrett Vice Chair: Steve McCarty Secretary: James Dickerson Outgoing board members Richard Boyer, James Thompson and Melvin White were recognized and thanked for their service. The meeting was adjourned at 10:55 a.m. Appendix 1 BOARD OF REGENTS OF STEPHEN F. AUSTIN STATE UNIVERSITY Nacogdoehes. Texas RESOLUTION TO ACKNOWLEDGE REVIEW OF INVESTMENT POLICY AND STRATEGY WHEREAS, The Texas Public Funds Investment Acl requires that each university's investment policy and strategy must be annually reviewed by the governing board of the institution; and WHEREAS, the law also requires the governing body to adopt a written instrument statins; that is has reviewed the investment policy and strategy; NOW THEREFORE BE IT RESOLVED thai the Stephen F. Austin Slate University Board of Regents, by the issuance of this resolution, does hereby approve the investment policy and strategy as reviewed on January 25, 2011; and BE IT FURTHER RESOLVED that a copy of this resolution be spread upon the minutes of the January 25. 2011 meeting of the board. Attest: Midvin R. White. Chair Richard B. Boyer, Secretary Appendix 2 BOARD OF REGENTS OF STEPHEN F. AUSTIN STATE UNIVERSITY Nacogdoches, Texas RESOLUTION APPROVING FINANCIAL INSTITUTIONS AND BROKERS FOR INVESTMENT TRANSACTIONS WHEREAS. The Texas Public Funds Investment Act requites the university to submit a resolution approving a lisl of qualified investment brokers and financial institutions to the governing body ofthe institution for adoption and/or review; and WHEREAS, the following firms are approved investment brokers: Merrill Lynch. Inc. iShares Russell 1000 Value Eaton Vance [XV Jonnison LCV Ml-S LCV SchaferCullenLCV A let he i a LCV Neuburgcr Berman LCG iSharcs Russell 1000 Growth AlelheiaLCG Fayez LCG Janus LCG Fred Alger Smith Growth TIS Group SCC iShares Russell 2000 [Shares Russell Microcap CS McKce SCC Firth Third Small Cap Value London Co SCC iShares MSC1 EAFE Index Fund Ncuberger Berman Intl Core Lazard International w/Emerging Markets MFS Intl Growth Cadence SCG-MAA IMG Investment Management Merrill Lynch Alternative Investments LLC The Endowment Fund Appendix 2 WHEREAS, the following firms are approved financial institutions: Citizens 1st Bank Austin Bank BancorpSouth Commercial Bank ofTexas NA First Bank and Trust Regions Bank Regions Morgan Keegan Trust US Bank Texas Bank Texpool Texslar NOW THEREFORE BE IT RESOLVED that the Stephen F. Austin Stale University Board of Regents, by the issuance of this resolution, does hereby approve the above listed firms for investment transactions by Stephen F. Austin Stale University; and BE IT FURTHER RESOLVED that a copy of this resolution be spread upon the minutes of the January 25, 201 I meeting of the board. MoiVin R. While, Chair Richard B. Boyer, Secretary Appendix 3 Grants awarded September 15, 2010 - December 31, 2010 *New awards Prepared by the Office of Research & Sponsored Programs 1 Total current year awards $ 1,583,564 Subtotal direct federal 283,527 Subtotal federal pass-through 1,188,557 Subtotal state and state pass-through 50,360 Subtotal private and local government 61,120 Total awards (all years) for new awards (this period) $ 2,457,236 Total awards (all years) for continuing grants (this period) $ 673,057 Direct Federal Awards *Vocational Rehabilitation Counselor Training FY 2011 Award: $150,000 Total Award: $750,000 (Grant - renewal) Sponsor: U.S. Department of Education Term (this action): October 1, 2010 – September 30, 2015 Description: This grant provides funds to significantly increase the supply of master’s degree trained, CRC-eligible Rehabilitation Counselors. PI/PD: Dr. Robert Choate, Department of Human Services *Identification of Selective Cytotoxic Eryngiosides from Eryngium L. FY 2011 Award: $133,527 Total Award: $280,800 (Grant) Sponsor: U.S. Department of Agriculture Term (this action): September 1, 2010 – August 31, 2012 Description: This grant funds a study that will aid in the long-term goal of developing eryngiosides (oleanane-type triterpenoid glycosides or saponins isolated from Eryngium L.) as novel primary and/or adjuvant therapy for cancers. PI/PD: Dr. Shiyou Li, National Center for Pharmaceutical Crops, College of Forestry and Agriculture Subtotal Current Year Awards (this report) = $283,527 Subtotal Continuing Direct Federal Awards (total award) = $0 Subtotal New Direct Federal Awards (total award) =$1,030,800 Federal Pass-through Awards *Advanced Technical Credit Professional Development Accountability System FY 2011 Award: $400,000 Total Award: $400,000 (Grant – renewal) Sponsor: Texas Education Agency (U.S. Dept. of Education) Term (this action): September 1, 2010 – August 31, 2011 Subawards: $204,471 – A subaward to the Lone Star College System (LSCS) is approved by the sponsor as part of the grant application. LSCS will coordinate statewide professional development activities related to this project. Appendix 3 Grants awarded September 15, 2010 - December 31, 2010 *New awards Prepared by the Office of Research & Sponsored Programs 2 Description: Funds are provided to continue support of the statewide Advanced Technical Credit (ATC) Program by determining and recording the eligibility of secondary teachers to teach courses for articulated college credit and, in partnership with the Lone Star College System, to facilitate secondary-to-postsecondary course alignment and training of secondary subject-area teachers. PI/PD: Dr. Judy Abbott, College of Education *State Leadership Educational Excellence for CTE in Education & Training, Hospitality & Tourism, and Human Services FY 2011 Award: $300,000 Total Award: $300,000 (Grant - renewal) Sponsor: Texas Education Agency (U.S. Department of Education) Term (this action): December 1, 2010 – August 31, 2011 Description: Funds are provided to support the statewide implementation of rigorous TEKS for the Education and Training, Hospitality and Tourism, and Human Services career cluster with professional development opportunities to improve teacher effectiveness. PI/PD: Dr. Lynda Martin, Department of Human Sciences. Co-PIs/PDs: Dr. Chay Runnels, Department of Human Services; Dr. Mary Olle, Department of Human Services *Pineywoods Area Health Education Center (AHEC) FY 2011 Award: $88,000 Total Award: $88,000 (Subaward - renewal) Sponsor: U.T. Medical Branch – Galveston (U.S. Dept. of Health & Human Services) Term (this action): September 1, 2010 – August 31, 2011 Description: The purpose of this project is to build and maintain an integrated, community-based regional organization to effectively and efficiently address and support achievements of East Texas AHEC objectives. PI/PD: Ms. Janis Ritter, AHEC - College of Science and Mathematics *Avian Community Dynamics in Bottomland Hardwood Forests of East Texas FY 2011 Award: $58,840 Total Award: $452,320 (Interagency Agreement) Sponsor: Texas Parks and Wildlife (U.S. Dept. of the Interior) Term (this action): September 1, 2010 to August 31, 2015 Description: The objectives of this research are to quantify avian and forest community structure, dynamics, and response prior to and after experimental silvicultural treatments at the Old Sabine Bottom Wildlife Management Area and compare those metrics to reference sites at the Little Sandy National Wildlife Refuge. PI/PD: Dr. Warren Conway, School of Forestry Appendix 3 Grants awarded September 15, 2010 - December 31, 2010 *New awards Prepared by the Office of Research & Sponsored Programs 3 *State Fiscal Stabilization Fund (ARRA Stimulus Funds) FY 2011 Award: $33,282 Total Award: $33,282 (Formula Grant) Sponsor: Texas Education Agency (U.S. Dept. of Education) Term (this action): September 1, 2010 – August 31, 2011 Description: These Recovery Act funds are being used to provide reading and mathematics at-risk intervention teachers for the SFA Charter School. PI/PD: Ms. Lysa Hagan, Charter School, Department of Elementary Education *Expanding an Understanding of Rural Human Services FY 2011 Award: $9,940 Total Award: $9,940 (Subaward) Sponsor: University of Massachusetts Rural Policy Research (U.S. Department of Agriculture) Term (this action): August 25, 2010 – December 18, 2010 Description: Funds are provided for the analysis of qualitative data, collection of outcomes, investigation of child welfare databases, and design of collection baseline data, all of which will help initiate a more comprehensive human services research agenda. PI/PD: Dr. Kathleen Belanger, School of Social Work *Special Education Recruitment and Retention FY 2011 Award: $8,867 Total Award: $8,867 (Subaward - renewal) Sponsor: Texas A&M – Texarkana (U.S. Department of Education) Term (this action): September 1, 2010 – June 30, 2011 Description: The objective of this agreement is to implement and support work related to the State of Texas special education grant, which may include workshops, scholarships, and stipends. PI/PD: Dr. Carol Harrison, Department of Human Services *Statewide Longitudinal Data System (SLDS) FY 2011 Award: $2,872 Total Award: $2,872 (Subaward) Sponsor: Texas Higher Education Coordinating Board (U.S. Dept. of Education) Term (this action): September 1, 2010 – November 15, 2011 Description: This grant provides funds to design, develop, and implement statewide, longitudinal data systems to efficiently and accurately manage, analyze, disaggregate, and use individual student data, consistent with the Elementary and Secondary Education Act of 1965 and to facilitate analyses and research to improve student academic achievement. PI/PD: Ms. Karyn Hall, Institutional Research Previously Described Awards Mentor Program and Workshops for Area Child Care Providers (ARRA Stimulus Funds) FY 2011 Award: $255,965 (additional award) Total Award: $372,840 PI/PD: Ms. Lori Harkness, Department of Elementary Education Appendix 3 Grants awarded September 15, 2010 - December 31, 2010 *New awards Prepared by the Office of Research & Sponsored Programs 4 Evaluating the Effectiveness of a NASA-led Effort to Build Climate Literacy among NPS and FWS Educators (NASA Earth to Sky II) FY 2011 Award: $19,791 Total Award: $60,017 PI/PD: Dr. Theresa Coble, School of Forestry Utilities and Districts Mapping (Implementation) FY 2011 Award: $10,000 Total Award: $215,000 PI/PD: Mr. P. R. Blackwell, Forestry - Columbia Regional Geospatial Service Center *MLK Day of Service FY 2011 Award: $1,000 (renewal) Total Award: $1,000 PI/PD: PI/PD: Dr. Jamie Bouldin, Student Life Subtotal Current Year Awards (this report) = $1,188,557 Subtotal Continuing Federal Pass-through Awards (total award) = $647,857 Subtotal New Federal Pass-through Awards (total award) =$1,296,281 State and State Pass-through Awards *Developing a Large Woody Debris for the San Antonio River FY 2011 Award: $20,000 Total Award: $50,000 (Interagency Agreement) Sponsor: Texas Water Development Board Term (this action): January 1, 2011 – September 30, 2012 Description: The purpose of this project is to develop a Large Wood Debris (LWD) budget for southern rivers to quantify possible management efforts on LWD dynamics in order to ensure that healthy populations of aquatic life are maintained in Texas rivers. PI/PD: Dr. Matthew McBroom, School of Forestry, Waters of East Texas (WET) Center *Student Success Initiative FY 2011 FY 2011 Award: $2,750 Total Award: $2,750 (Formula Grant) Sponsor: Texas Education Agency Term (this action): September 23, 2010 – August 31, 2011 Description: The purpose of this program is to provide transitional financial assistance to Texas independent school districts and open-enrollment charter schools during the second post-Accelerated Reading Instruction/Accelerated Math Instruction school year. PI/PD: Ms. Lysa Hagan, Department of Elementary Education Previously Described *JAMP Camp FY 2011 FY 2011 Award: $20,000 (renewal) Total Award: $20,000 PI/PD: Dr. Kevin Langford, Department of Biology Appendix 3 Grants awarded September 15, 2010 - December 31, 2010 *New awards Prepared by the Office of Research & Sponsored Programs 5 *SFA Charter School Technology Allotment FY 2011 FY 2011 Award: $7,610 (renewal) Total Award: $7,610 PI/PD: Ms. Lysa Hagan, Department of Elementary Education Subtotal Current Year Awards (this report) = $50,360 Subtotal Continuing State/State Pass-through Awards (total award) = $0 Subtotal New State/State Pass-through Awards (total award) =$80,360 Private and Local Government Awards *AHEC Special Projects FY 2011 Award: $15,000 Total Award: $15,000 (Grant) Sponsor: U.T. Medical Branch - Galveston Term (this action): November 9, 2010 – August 31, 2015 Description: The purpose of this project is fund projects that will help build and maintain an integrated, community-based regional organization to effectively and efficiently address and support achievements of East Texas AHEC objectives PI/PD: Ms. Janis Ritter, Piney Woods AHEC, College of Sciences and Mathematics *Houston County Cultural Heritage Map & Interactive Web Application FY 2011 Award: $10,000 Total Award: $10,000 (Interlocal Agreement) Sponsor: Houston County Term (this action): December 17, 2010 – April 30, 2012 Description: The purpose of this project is to create a historic tourism GIS for Houston County including base data such as roads, streams and cities, and annotated historically or culturally significant locations. PI/PD: Mr. P.R. Blackwell, Columbia Regional Geospatial Service Center *Nacogdoches County Wildfire Protection Plan Assessment FY 2011 Award: $10,000 Total Award: $10,000 (Interlocal Agreement) Sponsor: Nacogdoches County Term (this action): August 17, 2010 – August 31, 2011 Description: This grant provides funds for the development of a Wildfire Protection Plan for Nacogdoches County. PI/PD: Dr. Brian Oswald, School of Forestry *Stakeholder’s Attitudes towards Black Bears in Louisiana FY 2011 Award: $10,000 Total Award: $10,000 (Contract) Sponsor: Louisiana Fish and Wildlife Department Term (this action): September 1, 2010 – August 31, 2011 Description: Funds are provided to assess the general attitudes of the residents of specific Louisiana towns toward black bears by determining residents currently knowledge of, familiarity with, attitude toward and opinion of black bears and black bear Appendix 3 Grants awarded September 15, 2010 - December 31, 2010 *New awards Prepared by the Office of Research & Sponsored Programs 6 management in potential and occupied range. PI/PD: Dr. Pat Stephens-Williams, School of Forestry *Douglass Cemetery Mapping FY 2011 Award: $3,000 Total Award: $3,000 (Contract) Sponsor: Douglas Cemetery Board Term (this action): December 2, 2010 – November 30, 2011 Description: Funds are provided to collect a GPS location for every marked internment, build a geo database of information inscribed on the headstones of each grave, create a plat map locating existing burials and as a general guide for potential spaces available for future burials, and generate a map suitable for display. PI/PD: Mr. P.R. Blackwell, Columbia Regional Geospatial Service Center *myPLAYBOOK Online Drug Education for SFA Students-Athletes FY 2011 Award: $1,795 Total Award: $1,795 Sponsor: NCAA Educational Affairs Term (this action): September 30, 2010 – May 31, 2011 Description: This grant provides funds for the myPlaybook Core Program, an interactive web-based program that provides a new and engaging method to educate student-athletes about drug and alcohol addiction. PI/PD: Loree McCary, Department of Athletics Previously Described Pine Tip Moth Impact Project FY 2011 Award: $8,925 Total Award: $20,400 PI/PD: Dr. Dean Coble, School of Forestry AHEC Apartment Utilities Fund FY 2011 Award: $2,400 Total Award: $4,800 PI/PD: Dr. Dean Coble, School of Forestry Subtotal Current Year Awards (this report) = $61,120 Subtotal Continuing Private/Local Government Awards (total award) = $25,200 Subtotal New Private/Local Government Awards (total award) =$49,795 Note: • Amounts are based on award notices as they are received from the funding agency, not expenditures or balances in funds/accounts. • Does not include non-grant financial aid or gift accounts. Appendix 4 Policies for Board Review January 25, 2011 Policy Name Policy Number Action/Change Page Number Academic Chair/Director Appointment E-6A Policy title changed. Minor edits. P-3 Academic Space for Non- Academic Activities B-2 Policy title changed. Major rewrite. P-5 Austin Building Conference Rooms B-3 Minor edits. P-7 Best Value Procurement C-7 Removed SFA Charter School and added Equestrian Program to exempt purchases. P-8 Budget Change and Additional Appropriation C-4 Increased approval requirement level to $10,000. Changed process for approval. P-13 Central Receiving F-6 Updated processes to reflect Banner changes. P-14 Compensation Plan for Classified and Non-Classified Staff E-68 Policy title changed. References updated. P-17 Faculty Development Leaves E-23A Major rewrite. P-27 Fair Labor Standards E-70 Minor edits. Updated references. P-30 Grants and Contracts Administration A-56 Grants presented to board quarterly. Grant-funded employees subject to board approval. References updated. P-34 Guarantees Relating to Matters Other Than Termination E-26A Policy title changed. Major rewrite. P-35 Instructor-generated Materials A-22.1 Major rewrite. P-38 Insurance and Other Benefits E-28 Social security information based on 2010 rates. Savings bonds deleted. References updated. P-40 Investments C-41 Changed responsibility for collateral documentation. Further defined rate risk and credit risk. Training broadened. P-47 Investments-Endowment Funds C-41A References updated. P-59 Items Requiring Board of Regents Approval D-20.5 Removed approval exclusion for employees paid with grant funding. Grants will be submitted to the board quarterly. P-69 New Employee Orientation E-33.1 Minor edits. P-73 Appendix 4 Policy Name Policy Number Action/Change Page Number Part-time Faculty E-37A Minor edits. P-75 Performance Evaluation of Tenured Faculty A-37.1 Policy title changed. Major rewrite. P-76 Personnel Action Request E-39 Policy title changed. Major rewrite. P-80 Prompt Payment to Vendors and Employees C-25.1 PAR changed to EPAF process. References updated. P-82 Proprietary Purchases C-26 Titles and references updated. P-84 Purchase of Electronic and Information Resources C-62 Major rewrite. P-85 Purchase of Surplus Property C-28 Updated web addresses and references. P-87 Retirement Programs E-43 TRS employer matching contribution changed beginning 1/1/10. References updated. P-90 Safe and Vault Combinations D-29 Reviewed with no changes. P-93 Semester Grades A-54 Marks of R*, T* and AU defined. P-94 Student Employment F-26 Major rewrite. P-96 Student Media D-44 Student Publications Committee reduced to nine members. P-100 Student Service Fee Allocations F-28 References updated. P-103 Student Travel D-48 References updated. P-104 Teacher Preparation A-6 Policy title changed. Major rewrite. P-106 University Awards Programs A-66 Minor edits. P-108 Working Hours and Holidays D-40 Minor edits. P-109 Appendix 4 P-3 Academic Unit Chair/Director Appointments (E-6A) Original Implementation: May 23, 1979 Last Revision: January 29, 2008January 25, 2011 Academic unit chairs/directors under a twelve-month contract are expected to be on duty each working day except when on vacation, sick leave, or other form of leave. Vacation time and sick leave are earned according to the schedule for Texas state employees. Academic unit chairs/directors are subject to being called upon to address a task or issue outside the normal working day when it is judged to be in the best interest of the university. to address a task or /issue outside the normal working day. Academic unit chairs/directors under an eleven-month contract are expected to be on duty each working day within that contract period when classes are in session except when on sick leave or other form of leave. In general, the eleven-month contract shall be treated as an academic year appointment plus two summer months. It is the responsibility of academic unit chairs/directors to enassure that on going academic unit obligations are met during their absence. Vacation time is not accrued under an eleven-month appointment. Sick leave is earned according to the schedule for Texas state employees. Academic unit chairs/directors under an eleven-month contract are also subject to being called upon to address a task or issue outside the normal working day when it is judged to be in the best interest of the university. Chairs/directors under an eleven-month contract are subject to being called upon at any time when it is judged to be in the best interest of the university to address a task or /issue outside the normal working day. Academic unit chairs/directors who are appointed for a period of eleven months should have no university duties to the university during the equivalent of one calendar month (twenty-one working days) during June, July, and August. (twenty-one working days). These days may be taken at one time or distributed throughout the summer. In any case, the twenty-one days allowed during the summer shall be logged in the academic unit office and approved by the respective dean prior to the time of taking leave from duties. Cross Reference: Departmental Administration (E-10A) and Chair Teaching Load (E- 70A) Appendix 4 P-4 Responsible for Implementation: Provost and Vice President for Academic Affairs Contact for Revision: Provost and Vice President for Academic Affairs Forms: None Board Committee Assignment: Academic and Student Affairs Appendix 4 P-5 Academic FacilitiesSpace for Non-Academic Activities (B- 2) Original Implementation: 1979 Last Revision: January 29, 2008January 25, 2011 The provisions of the policy on the Use of University Facilities (B-1) govern the use of all buildings, facilities, equipment, and grounds, hereafter referred to as facilities, under the control of Stephen F. Austin State University. That policy provides that the university may establish additional procedures for the reservation and use of specific facilities; therefore, the following provisions apply to academic facilitiesspace for non-academic activities. There are times when facilities are needed by non-academic departments of the university as well as registered student organizations. Non-academic departments of the university and registered student organizations may request the use of campus facilities to conduct activities that further their mission. To help achieve the most efficient utilization of university resources, Facademic facilities may be made available for the use of non-academic activities departments of the university and registered student organizations upon their request and approval of to the dean of the college or the facility director, subject to facility director who administers the space desired. The availability and use of such facilities will be subject established to the regulations and policies. set forth by the controlling college relating to the use of specific facilities within their delegated purview. Efforts should be made by the colleges to accommodate these requests whenever possible. Extensive or repeated use of the facility may require implementation of a facility use agreement. A statement of proof of responsibility or property damage deposit may be developed and required by the college that administers the space before use of the facilities is authorized. Such statements and/or Pprocedures for requiring property deposits or facility use agreements must be in writing and have the approval of the president, provost and general counsel. Questions relating to contractual conditions should be initially directed to the dean of the college or facility director, who may as necessary, consult with the university attorney. The use of all academic facilitiesspace is subject to the permissible assignment and or scheduling. of that facility. Cross Reference: Use of University Facilities, Policy (B-1); Turner Auditorium, Policy (B-28) Appendix 4 P-6 Responsible for Implementation: Provost and Vice President for Academic Affairs; Vice President for University Affairs Contact for Revision: Provost and Vice President for Academic Affairs, Vice President for University Affairs Forms: None Board Committee Assignment: Academic and Student Affairs Appendix 4 P-7 Austin Building Conference Rooms (B-3) Original Implementation: June 10, 1986 Last Revision: January 29, 2008January 25, 2011 The provisions of the policy on the Use of University Facilities (B-1) govern the use of all buildings, facilities, equipment, and grounds, hereafter referred to as facilities, under the control of Stephen F. Austin State University. That policy provides that the university may establish additional procedures for the reservation and use of specific facilities; therefore, the following provisions apply to Room 305 and Room 307 in the Austin Building. Because of the formal nature of these rooms, the university wishes to preserve them for important official and universal functions of the university. They will not be available for scheduling by campus groups for routine meetings. Faculty, staff, and student groups are referred to the coordinator of university reservations and conferences in the Pattillo Student Center for scheduling meetings in that facility. These conference rooms will be primarily for the use of the Board of Regents and the president of the university in their conduct of the governance and administration of the university, as well as for visits of dignitaries and official university guests. Beverages and food are prohibited in conference rooms 305 and 307, except as approved by the president or the chair of the Board of Regents. Cross Reference: Policy B-1, Use of University Facilities (B-1) Responsible for Implementation: President Contact for Revision: President Forms: None Board Committee Assignment: Building and Grounds Appendix 4 P-8 Best Value Procurement (C-7) Original Implementation: January, 1988 Last Revision: July 21, 2009January 25, 2010 PROCUREMENT PROCESSES Stephen F. Austin State University makes purchases, not otherwise delegated through Policy C-10, Delegated Purchasing Authority, on a best value basis through any of the following processes. All procurement processes require Board of Regents approval as per Policy D-20.5, Items Requiring Board of Regents Approval. HUB Subcontracting Plan requirements apply in accordance with Policy C-16.5, Historically Underutilized Businesses, and state law. A. All purchases completed with state appropriated funds must first consider making the purchase from Texas Industries for the Blind and Handicapped (TIBH) as mandated by Education Code 51.9335 to promote the purchase of goods or services from persons with disabilities. B. Purchases $0 - $5,000 are to be negotiated to achieve the best value for the university. C. The university may purchase goods or services through competitive bid procedures with the following minimum bidder requirements. A justification must be included in the order file if these minimums are not met. 1. $5,000.01 - $25,000.00 – Minimum three informal bids required; minimum 50% HUB vendors including one woman-owned and one minority-owned 2. Greater than $25,000.00 – Minimum five formal bids required; minimum 50% HUB vendors including one woman-owned and one minority-owned; Electronic State Business Daily posting required unless Procurement Services determines that no value is added by the posting. In determining best value for Competitive Sealed Bids, the university shall consider best value factors identified in Education Code 51.9335. D. The university may purchase goods or services through the competitive sealed proposal process outlined in the Procurement Department RFP Manual. All competitive sealed proposals shall include an appropriate number of solicitations to be determined by the Procurement Department, including HUB vendors of any gender and ethnicity when identified as providing the good or service sought. Electronic State Business Daily posting is required, unless the Procurement Department determines that no value is added by the posting. Appendix 4 P-9 E. The university may purchase goods or services through the Request For Offer process established in 34 Texas Administrative Code Section 20.391 for the acquisition of automated information systems goods and services. F. The university may purchase goods or services through group/cooperative purchasing programs without a solicitation process, when such purchase is deemed to represent the best value to the university. G. The university may purchase goods or services through State of Texas Term Contracts, State of Texas Multiple Award Schedules, and DIR/Tex-An Contracts without a solicitation process, when such purchase is deemed to represent the best value to the university. H. The university may purchase goods or services through reverse auctions. I. The university may purchase goods or services through contracts awarded by other state agencies or institutions of higher education without a solicitation process when such contracts are available and have followed approved purchasing processes, and such purchase is deemed to represent the best value to the university. J. The university may purchase goods or services through contracts awarded by the Council on Competitive Government in accordance with Government Code 2162 without a solicitation process, when such contracts are available, and such purchase is deemed to represent the best value to the university. K. The university may purchase goods or services on an EMERGENCY basis. An emergency purchase is defined as a situation requiring that a procurement be made more quickly to prevent a hazard to life, health, safety, welfare, or property or to avoid undue additional cost to the university. A procurement may be declared an emergency at the purchaser’s discretion in consultation with the end user and upon approval by the director of procurement. Declaration of an emergency supersedes all other best value procurement rules. The university will attempt to obtain bids, price comparisons or proposals when sufficient time exists by utilizing the most effective procurement process, including the Electronic State Business Daily, when value is added by using such processes. EXEMPT PURCHASES The following purchases are exempt from best value procurement processes. Submission of a purchase requisition and other rules may apply. Statements included below in quotes are considered to be a part of any purchase order issued for the good or service when the purchase order is identified as an exempt purchase. 1. Advertising 2. Hotels and meeting rooms for conferences Appendix 4 P-10 3. Conference expenses; expenses related to conference room services such as audio/visual/network and food services. (does not include goods purchased for attendees or transportation services) 4. Moving expenses (employee) — See Policy C-21, Moving Expenses 5. Student travel; expenses related to student travel 6. Library materials and services for Stephen F. Austin State University libraries, as defined by Government Code 2155.139(a)(2), when such exemption represents the best value to the university. “Exempt library purchase in accordance with university policy” 7. Membership dues and associated fees 8. Direct publications only available from a single source as defined by Texas Procurement and Support Services (TPASS) in the TPASS Procurement Manual; i.e., hard-copy or electronic subscriptions, books, videos, software and software maintenance direct from the publisher. “Not available from any other source” 9. Freight, including shipping, handling, fuel surcharge, hazardous material fee, postage, and other surcharges 10. Intra-agency payments 11. Rental of exhibit space; i.e., booths for display purposes 12. Items for resale 13. Internal repairs – repairs for which the extent and cost of such cannot be determined until the commodity is disassembled and evaluated. An internal repair must contain labor and may also include parts. “Accurate repair costs cannot be determined until equipment is disassembled.” 14. Purchases from federal agencies 15. Utilities, other than electricity for which SFA chose to opt into deregulation 16. Organized activity purchases – Goods and services for the Early Childhood Lab, SFA Charter School, Cole Audiology Lab, Beef Farm, Poultry Farm, Equestrian Program, Broiler Houses, and Swine Farm when the purchase directly affects operations and such exemption represents the best value to the university. “Exempt purchase for an organized activity related to an instructional department in accordance with university policy” 17. Group travel; expenses related to group travel when such group travel includes non-university persons and is funded by payment from individual travelers; i.e., Art Tour 18. Gifts, prizes and awards for students, employees and non-university individuals 19. Accreditation Fees 20. Tournament Fees or Game Guarantees 21. Licensing Fees or Permits 22. Employee Registration or Tuition 23. Sponsorships 24. Non-travel-related meals Appendix 4 P-11 25. Fees, not otherwise identified herein 26. Notary bonds COMPETITIVE SEALED BID SUBMISSION, BID OPENING, AND TABULATION Bid Submission 1. Prospective bidders may request specific bid invitations from the Procurement Department at any time prior to the bid opening; 2. A bidder may withdraw its bid by written request at any time prior to the bid opening date and hour; 3. A bid received after the time and date established by the bid invitation is a late bid and will not be considered; 4. A bid received which does not contain adequate bid identification information on the outside of the envelope will be opened to obtain such information and will then be processed as any other bid. If the incorrect information on the envelope causes the bid not to be considered in making an award, the bid will be considered invalid and rejected; 5. Bids may be submitted by facsimile (fax). The telephone number for fax bid submission will be identified in the solicitation; no other number may be used for bid submission. Bids submitted by fax need not be confirmed in writing, but must comply with all legal requirements applicable to formal bids. If all or any portion of a bid submitted by fax is received late, is illegible, or is otherwise rendered non-responsive due to equipment failure or operator error, the bid or the applicable portion of the bid will not be considered. The university shall not be liable for equipment failure or operator error, nor will such failure or error require other bids to be rejected or the bid invitation to be re-advertised. 6. Bids may be submitted by email when specific instructions regarding email submission are included in the solicitation, or if approved by the purchaser. Bids submitted by email need not be confirmed in writing, but must comply with all legal requirements applicable to formal bids. If all or any portion of a bid submitted by email is received late, is illegible, or is otherwise rendered non-responsive due to equipment failure, operator error or email quarantine, the bid or applicable portion of the bid will not be considered. The university shall not be liable for equipment failure, operator error, or emails directed to email quarantine, nor will such require other bids to be rejected or the bid invitation to be re-advertised. When email submission is allowed, all required signatures must appear on the emailed document via scan or image attachment. 7. An unsigned bid is not valid and will be disqualified; Appendix 4 P-12 8. A bidder or department may request, in person at the bid opening, that bids be read aloud. No bid shall be required to be read aloud at any time other than during regular working hours and days; 9. When formal bids are required, bids may not be taken or accepted by telephone; 10. If an error is discovered in a bid invitation, or agency departmental requirements change prior to the opening of a bid, the Procurement Department will transmit an addendum correcting or changing the specifications to all bidders originally listed on the transmission list for that bid invitation. Bids will not be rejected for failure to return the addendum with the bid, unless otherwise noted, if the receipt of the addendum is acknowledged on the face of the bid. Bid opening and tabulation. 1. All bid openings conducted by the Procurement Department shall be open to the public. 2. Bid opening dates may be changed and bid openings rescheduled if bidders are properly notified in advance of the opening date. 3. If a bid opening is canceled, all bids which are being held for opening will be returned to the bidders. 4. All bid tabulation files are available for public inspection. Bid tabulations may be reviewed by any interested person during regular working hours at the offices of the Procurement Department, or a copy may be provided. Employees of the university are not required to give bid tabulation information by telephone. Cross References: Items Requiring Board of Regents Approval (D-20.5); Historically Underutilized Businesses (C-16.5); Delegated Purchasing Authority (C-10); Tex. Educ. Code § 51.9335; 34 Tex. Admin. Code § 20.391; Tex. Gov’t Code § Ch. 2162; Tex. Gov’t Code § 2155.139(a)(2) Responsible for Implementation: Vice President for Finance and Administration Contact for Revision: Director of Procurement and Property Services/HUB Coordinator Forms: Purchase Requisition, Purchase Voucher Board Committee Assignment: Finance and Audit Appendix 4 P-13 Budget Change and Additional Appropriation (C-4) Original Implementation: Unpublished Last Revision: January 29, 2008January 25, 2011 A "Budget Change and Additional Appropriation" form is used to transfer budgeted funds from one budget category to another within an account, from account to account, used to request funds to supplement existing budgets, and may be used to transfer funds between accounts. In addition, the form may be used to request a budget change may be requested if an. If a departmental income account's actual revenue exceeds its revenue estimate. When this occurs a department may request a budget revision to increase its revenue estimate and expenditure budget. All budget changes in excess of $1,000 $10,000 require approval of the vice president for finance and administration and the president, and budget changes in excess of $100,000 require approval of the Board of Regents. The "Budget Change and Additional Appropriation" formappropriate document must be completed by the originator and approved at appropriate division levels. After division approval, the form will be sent to the budget office. The request will be reviewed, and if appropriate, approved and recorded. If additional information is needed, the originating department will be contacted. Account managers should verify that the transaction has been recorded in the accounting system. Cross Reference: None Responsible for Implementation: Vice President for Finance and Administration Contact for Revision: Vice President for Finance and Administration Forms: SFA FormsServer (Budget Add/Change AppropriationOffice Transaction Request) Board Committee Assignment: Finance and Audit Appendix 4 P-14 Central Receiving (F-6) Original Implementation: Unpublished Last Revision: April 22, 2008January 25, 2011 All supplies and equipment purchased for the university are to be delivered through Central Receiving to ensure uniform handling of freight claims, accurate entry of receiving information, and necessary elements of institutional control. The following purchases are excluded from this requirement. 1. items being delivered under delegated purchase authority to the library, Stone Fort Museum, or departments using P-Cards or Phone POsRush Orders; 2. items that require installation by the contractor; 3. items specifically authorized by the Purchasing and InventoryProcurement and Property Services Department. It is the responsibility of the department taking receipt of goods or services to immediately update on-line receivingcomplete a Receiving Form for Purchase Orders online for all of any direct deliveries of goods or services. Timely entry of receiving information is essential to avoid late payment penalties, and to effectively handle freight claims, shortages, or discrepancies. Vehicle Delivery 1. All vehicles delivered to Central Receiving will be checked for meeting specifications, and delivered to the transportation manager for identification as a state vehicle and recording State Vehicle Fleet Management Plan information. 2. All vehicles picked up from the dealer (usually long-term leased or lease-purchased vehicles) must be delivered immediately upon pick-up to the transportation manager for identification as a state vehicle and recording State Vehicle Fleet Management Plan information. Vehicle pick-up may be completed by the end user or by the Transportation Department. Other Delivery Services 1. count and examine all cartons for visible damage, create a Receiving Report/Delivery RecordReceiver Document and Delivery Log in the BannerFRS Purchasing System, and note any discrepancies on the Bill of Lading; Upon receipt of goods, Central Receiving will: Appendix 4 P-15 2. deliver all materialpackages, boxes, crates, etc., (except that those requiring inventoryproperty tagging, special equipment or manpower for moving) within 24- 48 hours to the requisitioning department; and 3. handle the filing of claims with the freight company for any freight damages or shortages;. and 4. affix property inventory tags if needed. 1. check contents of shipment against original purchase order; and complete a Upon receipt of goods from Central Receiving, the Department will: Receiving Form for Purchase Orders onlineenter line item receiving information into the FRS Purchasing System. 2. notify Purchasing within three working daysCentral Receiving immediately of any damages or shortages that could not be identified by Central Receiving. 1. count and examine all cartons for visible damage and note any discrepancies on the Bill of Lading Upon receipt of goods or services directly from the Vendor, the Department will: 2. check contents of shipment against original purchase order and complete a Receiving Form for Purchase Orders onlineenter line item receiving information into the FRS Purchasing System. 3. notify Purchasing within three working daysCentral Receiving immediately of any damages or shortages Failure to promptly complete a Receiving Form for Purchase Orders online update on-line receiving information or notify PurchasingCentral Receiving of damages or shortages may result in delays in 1) the inability to return goods, 2) higher restocking fees, or 3) payment for the goods or services and a liability for late payment penalties. The payment of any such penalties will be made from the account(s) that funded the original purchase. Outgoing Freight Outgoing freight should be dispatched through Central Receiving to ensure proper documentation, packing, and labeling. Clear indication of shipment value should always be made on the package or on the accompanying documentation. A special notation should be made when insurance is desired. Contact Central Receiving for additional instructions or assistance in handling outgoing freight. Appendix 4 P-16 Cross Reference: None Responsible for Implementation: Vice President for Finance and Administration Contact For Revision: Director of Purchasing and InventoryProcurement and Property Services/HUB Coordinator Forms: NoneReceiving Form for Purchase Orders Board Committee Assignment: Finance and Audit Appendix 4 P-17 Compensation Plan for Classified Exempt and Non- Classified Exempt Staff (E-68) Original Implementation: February 3, 2005 Last Revision: January 29, 2008January 25, 2011 Objective  Considers the external market, while focusing primarily on ensuring internal equity and emphasizing the advantages of a collegial work environment; : It is the intent of Stephen F. Austin State University to maintain a compensation program which:  Rewards and retains those individuals who exceed defined performance expectations;  Provides flexibility in implementation and process to meet the needs of the university;  Encourages progression and mobility to excellent performers through job enrichment and promotions from within; and  Encourages and rewards the acquisition of skills. Compensation Principles  The values of jobs will be based on a blend of SFA values and culture reflected through core factors and external market values. :  Total compensation for all jobs will take into account funding considerations, appropriate internal job relationships and market relationship.  Compensation plans, including methodologies and practices, will be well communicated to all employees at the university.  Performance management requires a cooperative effort between employees and supervisors. Employees and supervisors will work together to clarify and meet performance objectives and expectations.  The Performance Management Plan will provide ongoing performance feedback and reward meritorious performance. Communicating Pay Information: The Human Resources office will provide information concerning job classification and pay ranges upon request. Furthermore, as a regular part of their jobs, managers and supervisors are responsible for actively and openly communicating the organization's pay program and associated policies to employees on Appendix 4 P-18 an ongoing basis. Managers and supervisors should discuss the following areas with new and reclassified employees as they pertain to each individual employee's situation:  The job description covering the employee's duties and responsibilities  The employee's potential for progression within his/her pay range  Job performance and its relation to promotional opportunities and pay increases Administrative Responsibility  Communicating with their employees about program policies and individual compensation issues, to include providing the most current job descriptions to supervisory and managerial personnel; : Department heads are responsible for administering pay for employees in their organizational unit in accordance with university policies, procedures, and guidelines and for making recommendations to the Human Resources office. Additionally, they are responsible for:  Working with the Human Resources office on compensation matters, to include the updating of job descriptions as necessary; and  Ensuring that salary increase procedures are followed. 1. Issues that are identified by managers and supervisors that are not covered by these guidelines should be referred to the Human Resources office. The director of Human Resources has ultimate authority and responsibility for the university's compensation objectives, structures and policies. Any exceptions to, or major revisions in, the program must be approved by the director. The director will be responsible for ensuring these duties are completed:  Drafting/recommending new or revised compensation policies and procedures  Administering the daily operation of the salary administration function, including the approval of salary actions  Preparing, maintaining, and approving job descriptions  Monitoring the evaluation of new jobs and re-evaluation of existing jobs  Reviewing the pay structure annually to maintain market competitiveness and internal equity  Reviewing compliance with the Fair Labor Standards Act (FLSA), Equal Employment Opportunity Commission (EEOC), and other governmental regulations as they relate to the compensation function Appendix 4 P-19  Appraising program effectiveness and recommending program revisions as necessary Exempt/Non-Exempt Designation: The terms and provisions of the Fair Labor Standards Act (FLSA) provide the basis for exempt versus non-exempt status and overtime pay requirements. The exempt or non-exempt status of each employee, with regard to the payment of overtime, is determined by the position to which the employee has been hired, transferred or promoted. The director of human resources is responsible for determining the correct FLSA status when the job is classified in a pay grade. Each manager must ensure that the employee performs job duties as described in the job description and that time worked is reported appropriately to ensure compliance with overtime provisions of the FLSA. Job Descriptions The official job title on the job description will be used for all personnel records and publications (For internal purposes, however, departments may use a different functional title.) New official job titles may be created only with the prior review and approval by the director of human resources. : All benefits-eligible staff positions covered by this compensation program shall have a generic job description that includes the official SFA job title, a general job summary, a list of essential (major) duties and responsibilities, and job requirements (i.e. minimum education, experience, and other qualification requirements that an individual should have to fill the position). Job descriptions are used to:  Evaluate and classify jobs to determine appropriate internal position relationships.  Communicate to new or existing employees the fundamental duties and responsibilities of their jobs.  Provide job information that can be used to determine competitive pay relationships in the labor market.  Provide job information which can be used in the recruitment and selection process.  Provide job information which can be used in employee relations matters, such as performance appraisal, employee orientation, grievance resolution, and identification of training and development needs.  Ensure compliance with government legislation. Appendix 4 P-20 Changes in the duties of a job may require re-analysis and re-evaluation of a job. Where changes are judged significant by the supervisor and/or manager, he/she should complete a Job Analysis Questionnaire, which can be obtained from the director of human resources. Job Evaluation: The job evaluation method of determining the salary ranges for each position is a market pricing and slotting method. Salary ranges are determined on the basis of competitive pay rates for jobs of comparable duties and value to SFA. Extensive studies of compensation in nationwide competitive universities are made to ensure that our salary structure is competitive. The competitive salary survey data become the basis for calculating salary ranges, and, in turn, individual salary targets within the salary ranges. Benchmark jobs are chosen, priced by analysis of survey data and ranked. All other jobs are then slotted in relation to these benchmarks. Benchmark jobs are those with characteristics similar enough to jobs performed in other organizations that they can serve as market anchor points. Requests for Evaluation or Re-Evaluation of Jobs Requests may be prompted by the creation of a proposed new job title or by a substantial and permanent change in duties or requirements of an individual position or in the majority of individual positions within a job title. For a change in duties or requirements to merit re-evaluation, it should meet these criteria: : New and/or significantly revised positions or jobs must be evaluated by the human resources office in order to assign them to their appropriate grades. Requests for jobs to be evaluated or re-evaluated will be made in writing by the appropriate dean or department head to the director of human resources. The re-evaluation process will take place once per year just before the budget process begins.  It is a permanent change in duties; not a special project or short-term assignment;  The addition, deletion, or change affects a duty that constitutes a significant portion of the job (at least 15%);  The duty which is added, deleted, or changed is substantially different in level and type from the balance of the job duties so that it seems reasonable that the change in that one duty would affect the evaluation of the job on one or more job evaluation factors; or  The levels of education or experience required for the job noticeably change. These requirements should reflect minimum standards for satisfactory job performance, not an incumbent's qualifications.  The steps for submitting and processing a request for evaluation or re-evaluation are as follows: Appendix 4 P-21  The college or department head completes a "Request for Position Evaluation" form. Additionally, if a new classification is requested, a completed Job Analysis Questionnaire (JAQ) must be submitted with the form. If a re-evaluation of an existing position is requested, a copy of the current job description should be attached with the proposed changes indicated.  Human resources may ask that the Job Analysis Questionnaire be completed to provide more complete information to evaluate the position. Pay Grade Structures The structure is based on competitive practices and internal equity considerations, and provides the possibility for progression to more responsible jobs with higher and broader pay ranges. The pay structure is intended to: : SFA uses one combined grade structure to establish compensation limits for jobs.  Define the competitive pay position of jobs for the university to the relevant external market;  Establish differential pay levels between jobs to recognize differing demands; and  Establish lower and upper limits of value for each job. Midpoints of the pay ranges represent SFA's desired competitive position to the external market and are determined by a statistical calculation based on external salary survey data for benchmark jobs in each pay grade. The minimum and maximum of each pay range represent the minimum and maximum values, respectively, to the university of all jobs assigned to that particular pay range. In most cases, up to the top of the first quartile is considered the range of value for a newly hired employee who meets the minimum qualifications of the job. Thus, most employees should be hired within the first quartile of the range, but departments have full authority to hire or promote into non-exempt positions up to midpoint. Hiring exempt employees above the first quartile or non-exempt employees above midpoint requires prior approval by the director of human resources. Hiring employees below the minimum of the pay range is contrary to university policy and is not permitted. Conversely, the maximum of the pay range is the upper limit of pay for a job. An employee's rate of pay may not normally exceed the respective maximum for the job. Appendix 4 P-22 Review of Pay Structures Based on findings of the review, a recommendation will be prepared for consideration by the director of human resources concerning adjustments to the pay structures. The recommendation will include detailed cost analyses and will be provided to senior management for consideration. : As part the budget process each year, the director of human resources will review the competitiveness of its pay structures. The review will include (1) comparisons of the competitive status of SFA's midpoints to the relevant external market; (2) a review of anticipated average movement of pay structures by peer and comparison organizations. Pay Above Maximum: If, for any reason, an incumbent's base pay exceeds the maximum of the grade, the employee's pay will be "red circled". This means that all base pay rate increases will be given in lump sum form until the employee's base pay rate falls within range, at which time the incumbent will be eligible for future increases. Any exception to this policy requires prior approval by the director of human resources. New Hire Rates The hiring department has full discretion for placing a new exempt employee's salary rate within the first quartile and a new non-exempt employee's pay up to midpoint. Hiring rates in the second and third quartiles for exempt employees and the third quartile for non-exempt employees require prior approval by the director of human resources. Hiring rates in the fourth quartile may be established only with the approval of the director of human resources. : Employees meeting the minimum qualifications of the job should normally be paid within the first quartile of the pay range. However, pay rates for new employees possessing qualifications in excess of the minimum qualifications may be placed at pay rates above the first quartile, with the appropriate levels of approval. In determining hiring rates, consideration will be given to the resulting position in the pay range, whether the rate allows sufficient room for future growth, and relationships to rates paid to similarly qualified or more experienced employees in the job. External salary survey data will also be considered, if it is available. In establishing new hire rates, SFA will continue to comply with all federal and state rules and regulations, including the Equal Pay Act of 1963, which prohibits pay differentials on jobs that are essentially equal in terms of skill, effort, responsibility and working conditions, except when these are the result of a bona fide seniority or merit system, or any other job-related factor other than gender. Salary Adjustments: Decisions on all salary adjustments must be implemented in accordance with legislative requirements. Department heads are also responsible for Appendix 4 P-23 insuring compliance with all applicable federal and state rules and regulations regarding compensation. Annual Salary Budget: Each year as part of the budget planning process, SFA will prepare a salary budget that specifies the average increase amount, if any, to be given to employees during the fiscal year. The salary budget will be based on a comparison of the university's pay rates to external salary survey data, as well as the salary budgets projected by other peer and comparison organizations. The salary budget will reflect dollars available to fund general and/or merit increases. Merit Increases Merit increases are based on an employee's documented job performance and are intended to reward individual performance, increased productivity, improved quality, and/or reduced costs. To be eligible for a merit increase, individuals must have a current performance appraisal with a rating of fully acceptable or above on file in the human resources office. Employees receiving an unsatisfactory or needs improvement rating will not be eligible for a merit increase. : SFA policies permit the awarding of merit increases on a semi-annual basis to be effective either on September 1 and/or March 1. Only benefits-eligible employees who have completed six months of continuous employment at SFA as of the effective date of the merit program are eligible to receive a merit increase. Whenever a merit increase program is funded and authorized, the human resources office, in conjunction with the budget office, will prepare and distribute detailed guidelines to department heads. The guidelines will include the authorized merit increase amount, funding requirements, performance level required to be eligible to receive a merit increase, and other program criteria. Merit increases must be approved by the board of regents prior to their implementation. Equity Pay Adjustments A department head may initiate a pay equity adjustment once per year during the planning of the budget whenever he or she determines that the present level of compensation of an employee or group of employees is at a level where: : The human resources office periodically audits pay rates within classifications to identify potential pay problems. It is also the responsibility of the department head to bring to the attention of the director of human resources any significant pay problems that may exist in their department.  It results in an unusual level of turnover of employees in the group; or,  It results in the affected department experiencing significant difficulty in recruiting candidates to fill vacant positions; or, Appendix 4 P-24  It results in a disparity in current paid rates for similarly classified employees in that unit; or,  The level of compensation is substantially below the comparable level of compensation for similar employment outside SFA; and,  The present level of compensation has substantially reduced the university's ability to deliver services. Individual equity increases shall be based on one or more of the following:  Internal equity  External competitiveness  Longevity  Quartile within salary range All equity pay adjustments are subject to review and approval by the appropriate vice president and the director of human resources. Normally, funds for any approved equity pay adjustment must come from the authorized budget of the affected division. Promotions Any promotional increase should raise the employee's pay rate to at least the minimum of the pay range. Conversely, a promotional increase may not increase the employee's pay rate above the maximum of the new pay range. : When an individual is promoted, his or her pay will normally be adjusted to reflect the new level of responsibility. In isolated situations, when an individual's base pay rate is at a higher level than rates paid to incumbents, an individual may be granted a promotion with no change in pay. The hiring department has full discretion for placing the salary rate of an exempt employee within the first quartile and the pay rate of a non-exempt employee up to the midpoint. Recommended promotional increases which fall outside of these parameters are governed by normal university hiring procedures and approval processes. All promotional actions must be reviewed by the director of human resources. In determining recommended promotional increase amounts, the following factors are considered:  Rates paid to incumbents in the new position, both within hiring college or division and in other colleges and divisions throughout the university; Appendix 4 P-25  Pay range for the new position and the difference in the number of pay grades between the old position and the new position;  Qualifications of the individual versus qualifications of incumbents in the same job in the college or division;  External salary survey data, if it is available; and  Change in FLSA designation or overtime designation; i.e., a change from non-exempt job to an exempt job. The affected employee should not be notified of the proposed promotional increase amount until it has been approved by human resources. Position Re-evaluations Re-evaluating a classification to a lower pay grade will not normally result in a reduction to an employee's pay. Nonetheless, a downgrade will require that if the current pay of any employee is above the new maximum, the employee's pay will be "red-circled" and all increases will be withheld until the compensation level is equal to or less than the new maximum. : Employees whose jobs are re-evaluated to a higher pay grade may require adjustments to their base pay rates. Calculations of pay adjustments, if any, will normally be handled in the same manner as promotions. Any pay adjustment granted should raise an employee's pay to at least the minimum of the new pay range. Demotions: All demotions require prior approval by the director of human resources. New base pay rates of employees who are demoted to jobs assigned to lower pay grades will be based primarily on the base pay rates of incumbents in the new classification. A demotion may or may not result in a reduction in the employee's base pay rate. The new pay rate, however, must fall within the pay range of the new job. If the employee's pay falls above the maximum of the new pay range, the employee's pay must be reduced to at least the maximum of the pay range. Lateral Reclassifications Normally, there will be no change to the base pay rate of an employee who is laterally transferred. Under extraordinary circumstances and in extremely rare situations, an employee may receive a salary increase on a lateral move. Any increase granted on a lateral move requires the approval of the director of human resources. : Lateral reclassifications occur when job responsibilities have changed, but are similar in scope and responsibilities. The overall job requirements are comparable in the new job with the same pay grade as the old job. Appendix 4 P-26 Cross Reference: NoneFair Labor Standards Act, 29 U.S.C. § 201 et. seq. Responsible for Implementation: Vice President for Finance and Administration Contact for Revision: Director of Human Resources Forms: Request for Position Evaluation form; Job Analysis Questionnaire (JAQ) Board Committee Assignment: Finance and Audit Appendix 4 P-27 Faculty Development Leaves (E-23A) Original Implementation: April 26, 1983 Last Revision: January 29, 2008January 25, 2011 Traditionally, a respected and successful meansA traditional means of enhancing instruction and research in colleges and universities is the faculty developmental leave for additional study or for research and writing. T. In recognition of the importance of such a program, the Texas legislature adopted legislation in 1967 in 1967 adopted legislation permitting such leaves for qualified persons and set forth guidelines for the awarding of developmental leavesthem. Thise policy and procedures set forth herein by the board of regents stipulates the conditions under which such leaves may be granted by the Board of Regents (BOR) for field observations, research, study, writing, or other scholarly/creative activities. Faculty Development Leaves should not be used as a mechanism to assist faculty in completing work for a terminal degree. to members of the Stephen F. Austin State University (SFASU) faculty. 1.This policy applies to full-time faculty whose duties include teaching, research, administration, or the performance of professional services. The definition includes professional librarians but not classified (non-exempt) employees. Except for special circumstances, fFaculty members as defined above shall be eligible by reason of service for a developmental leave after at such time as they have served full time for at least three consecutive years, except for special circumstances. , at SFASU in an academic position as defined above. Not more than six percent of university SFASU faculty members may be on faculty developmental leave at any one time. The recipient of a developmental leave shall be ineligible to receive another until after the expiration of four years following the leave. Recipients of faculty developmental leaves must guarantee the university that they will return to their regular duties, or others that might be assigned, for a period of at least one year following the expiration of the leave, provided they are offered a contract by the university. Applications for faculty developmental leaves shall be reviewed annually by the Faculty Development Leave Committee which shall be elected by the faculty for staggered two- Appendix 4 P-28 year terms. The committee shall consist of full-time faculty members, one from each academic college and one from the library. When an elected member cannot serve, the college dean shall appoint a substitute. The committee shall determine the required format of applications and evaluate them. An applicant for a developmental leave must provide adequate evidence that the leave activity can be appropriately completed. The committee shall make recommendations to the provost and vice president for academic affairs and the president, who will make the final leave recommendation to the BOR. A faculty developmental leave may be awarded for one long semester at full base salary or for two long semesters at half the base salary. Payment of salary may be made from the funds appropriated by the legislature specifically for that purpose or from such other funds as might be available to the institution. Upon application by an eligible faculty member, the board of regents may grant a developmental leave of absence for field observations, research, study, writing, or other scholarly/creative activities. Applications for faculty developmental leaves shall be reviewed annually by the Faculty Development Leave Committee, which shall be elected by the faculty. The committee shall consist of elected, full-time faculty members, one from each academic college and the library. The term of election shall be for two years. Terms shall be staggered. The college dean shall appoint an appropriate substitute in situations when the elected member cannot serve. The committee shall determine the required format of applications and shall evaluate them. It shall make recommendations to the provost and vice president for academic affairs and the president for further recommendation to the board of regents. An applicant for a developmental leave must provide adequate evidence that the leave activity can be appropriately completed. A faculty developmental leave may be awarded for one long semester at full base salary or for two long semesters at half the base salary. Payment of salary may be made from the funds appropriated by the legislature specifically for that purpose, or from such other funds as might be available to the institution. 8.Faculty members on faculty developmental leave, under law, may accept a grant or stipend for study, teaching, research, or travel from any institution of higher education or from a charitable, religious, or educational corporation or foundation, from any business enterprise, or from any federal, state, or local governmental agency. However, they may not accept employment from any other person, corporation, or governmental agency, unless the BOR board of regents determines that it would be in the public interest to do so and expressly approves the employment. An accounting of all leave funds shall be made by faculty members to the board of regentsBOR through the provost and vice president for academic affairs and the president. 9.Faculty Development Leaves should not be used as a mechanism to assist faculty in completing work for a terminal degree. Appendix 4 P-29 10.The university shall cause to be deducted from the salary of faculty members on developmental leave the deposit and membership dues required to be paid by them to the Teacher Retirement System of Texas or to the Optional Retirement Program or both, the contribution for Old Age and Survivors Insurance, and any other amounts required or authorized to be deducted. 11.Faculty members on faculty developmental leaves shall continue to participate in the programs and receive the benefits (retirement, insurance, and etc.) made available by or through the university or the state to all other faculty members. 12.The recipient of a developmental leave shall be ineligible to receive another until after the expiration of four years following the leave. 13.Recipients of faculty developmental leaves must guarantee the university that they will return to their regular duties or others that might be assigned for a period of at least one year following the expiration of the leave, provided they are offered a contract by the university. 14.Faculty members on faculty developmental leaves shall be eligible for salary increases, merit pay, and all other fringe benefits awarded for the year following the expiration of the leave. 15.Within ninety days following completion of a faculty development leave, each recipient will present to the academic unit chair/director, dean, and provost and vice president a brief written report on the activities and accomplishments resulting from the leave. Cross Reference: Faculty Handbook; Texas Education CodeTex. Educ. Code, §sec. 51.101-.108 Responsible for Implementation: Provost and Vice President for Academic Affairs Contact for Revision: Provost and Vice President for Academic Affairs Forms: Faculty Development Leave Request Form; Faculty Development Leave Proposal Format; and Faculty Professional Development Form Board Committee Assignment: Academic and Student Affairs Appendix 4 P-30 Fair Labor Standards (E-70) Original Implementation: February 3, 2005 Last Revision: January 29, 2008January 25, 2011 SFA will comply with the Fair Labor Standards Act (FLSA) and related federal and state laws. All faculty, staff, and student employees of SFA are covered by the FLSA, although certain classes of employees are exempt from its overtime pay and minimum wage requirements. An employee's rights under the FLSA may not be waived. No employee may agree, even voluntarily, to work in violation of the FLSA. MINIMUM WAGE PROVISIONS SFA pays all employees, including student workers, at least the federal minimum wage prescribed by the FLSA. DETERMINATION OF EXEMPTION STATUS OF EMPLOYEES Each employee's overtime pay and minimum wage coverage under the FLSA (exempt, nonexempt) must be determined on an individual basis in accordance with the terms of the federal regulations. The director of human resources should be consulted when questions arise concerning an employee's status under the FLSA. Nonexempt Employees - Nonexempt employees will be paid only for actual hours worked Exempt Employees - Exempt employees are paid on a salary basis and, in general, must be paid their full salary for any week in which they perform work. Their pay may be reduced only under the circumstances described below. unless they receive benefits under the university's leave policies. Graduate students that are simultaneously performing research under grants and contracts and are fulfilling the requirements of an advanced degree are exempt from overtime pay and minimum wage requirements. OVERTIME The FLSA and state law govern the handling of overtime work. See SFA Policy and Procedure Manual: Overtime and Additional Compensation (E-36) for more information. DEDUCTIONS TO PAY FOR EXEMPT EMPLOYEES Appendix 4 P-31 Exempt employees are paid on a salary basis and, in general, must be paid their full salary for any week in which they perform work. Their pay may be reduced only in the following circumstances: 1. Employees who are absent from work at least one or more full days for sickness or disability will not be paid for that day unless they have accrued benefits under SFA's leave policy or disability policy. Their pay will not be reduced if they are absent for less than a full day because of sickness or disability. 2. Employees who take leave under the Family and Medical Leave Act will not be paid for that time unless they have accrued benefits under the university's leave policies. Their pay will be reduced by the hours missed even if it is less than a full day. 3. Employees who are absent from work for at least a full day for personal reasons other than sickness or disability will not be paid for that day unless they have accrued leave available. If an employee is absent for less than a full day for personal reasons, his or her pay will not be reduced. 4. Employees who are absent from work for jury duty, attendance as a witness at a trail trial or temporary military leave will have their pay reduced by the amount of payment they receive in the form of jury fees, witness fees, or military pay. Their pay will not be reduced by the number of hours or days they are absent from work unless they perform no work in a given week. 5. If an employee violates a safety rule of major significance, their pay may be reduced in an amount to be determined by the director of human resources as a penalty for that violation. 6. Employees may be suspended without pay for other types of workplace misconduct, but only in full-day increments. Their pay will be reduced in an amount that is proportionate to the number of days suspended. See the university's policy E- 11, Discipline and Discharge. 7. Employees who work less than 40 hours during their first or last week of employment will be paid a proportionate part of their full salary for the time actually worked. IMPROPER DEDUCTIONS FROM PAY It is SFA's policy to comply with the salary basis requirements of the FLSA. Therefore, we the university prohibits all supervisors from making improper deductions from salaries of exempt employees. SFA wants employees to be aware of this policy and that the university does not allow deductions that violate the FLSA. If you an employee believes that an improper deduction has been made to your his or her salary, you the employee should immediately report this information to your his or her direct supervisor or the director of human resources. Appendix 4 P-32 EQUAL PAY FOR EQUAL WORK UNDER THE FLSA SFA employees are covered by the Equal Pay Act, an amendment to the FLSA, that prohibits gender-based wage differentials between persons employed in the same location on jobs that require equal skill, effort, and responsibility and that are performed under similar working conditions. Jobs need only be substantially equal, not identical, for comparison purposes. The law permits differences in pay based on factors other than gender such as bona fide seniority or merit systems or systems that reward productivity. EMPLOYMENT OF MINORS The FLSA prescribes at what age and in which types of occupations minors can be employed. Federal regulations also limit hours of work for certain age groups. A list of prohibited occupations and other restrictions on employment of minors is available from the director of human resources. To protect SFA from an unwitting violation of the age restrictions, human resources must obtain and keep on file a Minor's Employment Release form (HR-200) if the person being employed is younger than 18 years of age. In addition, human resources must obtain and keep on file a Federal Certificate of Age issued by the U. S. Department of Labor, a state Certificate of Age issued by the Texas Workforce Commission or other proof of age acceptable to the director of human resources for any person offered employment when there is any reason to believe the person being employed is younger than 19 years of age. ADMINISTRATION The director of human resources is responsible for administering and answering questions on the FLSA. Inquiries as well as requests for special exemptions should be submitted to the director of human resources. The human resources office is responsible for posting, and keeping posted, notices pertaining to the applicability of the FLSA. These notices, which can be obtained from the Department of Labor, are to be displayed in conspicuous places to facilitate observation by all employees. The human resources office is also responsible for ensuring that all FLSA- and DOL-required records are maintained. APPEAL PROCESS Appendix 4 P-33 If an employee feels the university has violated any of the above regulations under the Fair Labor Standards Act the employee may, without prejudice or fear of retaliation, express his/her appeal to their supervisor or the director of human resources with the assurance of timely and thorough consideration. Those regulations include the minimum wage provisions, determination of exemption status of an employee, overtime provisions, deductions to pay for exempt employees, improper deductions from pay, equal pay for equal work provision, and the employment of minors. The complaint will be investigated by human resources and they will render a decision. If the employee is not satisfied with that decision, they can appeal to the vice president for the area involved who shall obtain input from the general counsel before making a final decision. If an investigation results in a determination that improper pay has been awarded, the university will rectify the under awarded pay amounts through this appeal process. Each employee is assured freedom from interference, coercion, discrimination and reprisal in filing appeals. Cross Reference: Fair Labor Standards Act, 29 U.S.C. § 201 et. seq.; Overtime and Additional Compensation (Policy E-36); Discipline and Discharge (Policy E-11) Responsible for Implementation: Vice President for Finance and Administration Contact for Revision: Director of Human Resources Forms: None Board Committee Assignment: Finance and Audit Appendix 4 P-34 Grants and Contracts Administration (A-56) Original Implementation: August 1, 2000 Last Revision: July 15, 2008January 25, 2011 The effective administration of contracts and grants is an essential operational function. The provost and vice president for academic affairs establishes and publishes procedures designed to assure that all research and sponsored programs are conducted in accordance with university policies and procedures;, with applicable state and federal laws and regulations;, and with the provisions of the contracts and grants themselves. These procedures for the administration of grants and contracts are outlined in the Technical Assistance Manual (TAM) published by the Office of Research and Sponsored Programs (ORSP). Deans and academic chairs/directors are responsible for reviewing proposals for grant proposals and contracts and for assuring that the proposed commitments of unit resources are feasible and realistic. Details of external grant and contract awards, including subawards and subcontracts in excess of $100,000, are presented to the Board of Regents for ratification on a quarterly basis. Appointments or changes in position for grant funded employees are subject to the same level of approval as other university employees. Cross Reference: Policy A-11.5, Conflict of Interest in Sponsored Activities (A-11.5); Policy A-31.5, Misconduct in Research and Scholarly Activity (A-31.5); Policy A-62, Human Research Subjects Protection (A-62); Payments to Human Research Subjects (A- 72); Policy E-9, Salary Supplements, Stipends and Additional Compensation (E-9); Indirect Cost Recovery, Distribution and Use (A-51); Policy A-68, Effort Reporting and Certification for Sponsored Activities (A-68); Items Requiring Board of Regents Approval (D-20.5); ORSP Technical Assistance Manual. Responsible for Implementation: Provost and Vice President for Academic Affairs Contact for Revision: Provost and Vice President for Academic Affairs; Director, Office of Research and Sponsored Programs Forms: OSRP Proposal Clearance Form, Revision Clearance Form, Request for Indirect Cost Reduction or Waiver, Cost Share Request Form, Request to Establish Account Banner Fund – External Grants and Contracts, Budget Change Request Form, Additional Compensation Verification Form, Banner Effort Certification Report Formss for Faculty and Salaried Employees Board Committee Assignment: Academic and Student Affairs Appendix 4 P-35 Resolving Faculty Disagreements in Issues Guarantees Relating to Matters Oother Than than Termination and Non-Renewal of Contracts (E-26A) Original Implementation: April 3, 1979 Last Revision: October 30, 2007January 25, 2011 The resolution of disagreements regarding administrative decisions or other disputes involving faculty or other personnel, other than dismissal, is to shall be pursued first initially with the academic unit chair/director. If the matter is not, or cannot be, satisfactorily resolved at that level, the faculty member may put the disagreement in writing the disagreement and submit it to the college dean, along, with a copy to the academic unit chair/director. The college dean will shall consult with the faculty member and the academic unit chair/director in an effort to resolve the disagreement. The dean may consult with any others deemed to have insight into the matter. If the matter is not, or cannot be, satisfactorily resolved at that levelby the dean, the faculty member may request that it be referral of appeal the issue referred to the provost and vice president for academic affairs (VPAA). The provost and vice president for academic affairs VPAA will shall consult with the faculty member(s), the academic unit chair/director, and the college dean, and any others with insight into the matter. in an effort to resolve the disagreement. The provost and vice president may consult with others deemed to have insight into the matter. If the matter is not, or cannot be, satisfactorily resolved at that levelby the provost and VPAA, the faculty member may request that it be referred appeal the issue either to the presidentto a subcommittee of the University Grievance Panel or directly to the president, depending on the nature of the dispute. Employment Disputes The appeal shall be forwarded from the provost and VPAA to the grievance panel at the faculty member’s request only if the disagreement involves an allegation that conditions of employment under university policy have been violated. This process shall operate under the following guidelines: 1. An advisory subcommittee of the University Grievance Panel shall review the evidence. The subcommittee shall be composed of five members, with two members selected by the faculty member, two by the president or the president's designee, and one selected at random. Each party shall have one challenge without stated cause. Appendix 4 P-36 2. Once constituted, the subcommittee shall establish its procedures for resolving the dispute. 3. When the subcommittee has made its determination, it shall advise the president and the faculty member of its findings in writing. 4. The president shall review the subcommittee’s report, consult with the faculty member(s) and any others with insight into the matter, and render a decision that shall be final. All Other Disputes In situations that do not implicate conditions of employment, an appeal from the provost and VPAA shall be forwarded directly to Tthe president who will shall consult with the faculty member(s), the academic unit chair/director, the college dean, and the provost and vice president for academic affairs VPAA and any others with insight into the matter. . in an effort to resolve the disagreement. The president may consult with others deemed to have insight into the matter. In all cases, tThe decision of the president is final and will shall be communicated to the faculty member in writing within a reasonable time through appropriate administrative channels. If the disagreement under review is an allegation that university policy regarding the faculty member's conditions of employment have been violated, the faculty member may request that prior to the president's final determination the matter be heard by a subcommittee of the University Grievance Panel. 1.Advisory subcommittee of the University Grievance Panel to hear the evidence will be composed of five members selected as follows from the University Grievance Panel: two members selected by the faculty member, two by the president or the president's delegate, and one by lot. Each party will have one challenge without stated cause. 2.Once constituted, the advisory subcommittee will organize itself to carry out its responsibilities and establish its procedures. 3.When the advisory subcommittee has made its determination as to whether and to what extent university policy with regard to the faculty member's conditions of employment have been violated, it will advise the president and the faculty member of its findings. 4.The president will review the report of the advisory subcommittee and will consult with the faculty member, the academic chair/director, the college dean, and the provost and vice president for academic affairs in an effort to resolve the issue. The president may consult with others deemed to have insight into the matter. The decision of the president is final and will be communicated to the faculty member in writing within a reasonable time through appropriate administrative channels. Appendix 4 P-37 Cross Reference: Faculty Handbook, Grievance and AppealsPolicy (E-25N) Responsible for Implementation: President Contact for Revision: President Forms: None Board Committee Assignment: Academic and Student Affairs Appendix 4 P-38 Instructor-generated Materials (A-22.1) Original Implementation: September, 1990 Last Revision: January 30, 2007January 25, 2011 "Instructor-generated materials" generally refers toare coursepacks or other such class materials that are intellectual property compilations that must be purchased by students. and are intended for sale. They are not merely handouts, nor are they copies, textbooks, or trade books. published by a commercial or university press. Copies of handouts distributed in class are provided to students and paid for by course fees. Published textbooks or trade books must be sold through bookstores. Under no circumstances, may faculty members sell instructor-generated or other academic materials directly to students. I The instructor-generated materials may only be then be sold through the university bookstore or off-campus vendors. The University andF faculty member(s) and the university will negotiate a royalty agreement in advance of the sale of instructor-generated materials in the university bookstore to properly compensate the faculty member(s) for their time, effort, and intellectual property, unless it was a work-made for hire. See Intellectual Property, Policy D-20. The university shall not be responsible for royalties or other financial benefits on instructor-generated materials sold by off-campus vendors. The faculty member(s are responsible for ) shall retain the right to assemblinge, editing, and amending their intellectual property that is suitable for instruction and/or sale, and that may be as necessary, subject to a department or /college review. , to determine whether the general quality of scholarship renders the material suitable for instruction and/or sale. No departmental or /college review shouldmay infringe upon the academic freedom of the faculty member(s) who created the instructor-generated materials. The General Fair Use Guidelines as described in Copyrighted Works Reproduction, Policy A-12, are applicable to instructor-generated materials. Copyright notices, appropriate citations and attributions should be included. The faculty-staff member who compiles the instructor-generated materials shall be responsible for complying with these guidelines. Permission must be obtained for materials that will be repeatedly used by the same instructor for the same class. Using a commercial copy shop Appendix 4 P-39 does not necessarily relieve the creator of instructor-generated materials of liability, unless the Fair Use Guidelines are followed or the copy shop pays appropriate royalties. Campus copy centers are not permitted to copy such materials, unless these guidelines are followed. Cross Reference: Faculty Handbook, ; University Policies: D-20, Intellectual Property (D-20),; and A-12, Copyrighted Works Reproduction (A-12),; and Academic Freedom and Responsibility (A-2.5) Responsible for Implementation: Provost and Vice President for Academic Affairs Contact for Revision: Provost and Vice President for Academic Affairs Forms: None Board Committee Assignment: Academic and Student Affairs Appendix 4 P-40 Insurance and Other Benefits (E-28) Original Implementation: Unpublished Last Revision: October 12, 2009January 25, 2011 Employee insurance and benefits include the following: Benefits-eligible employees are offered a basic insurance plan, which is fully funded by the state for full-time employees and is funded at one-half of the premium for part-time employees. The basic plan includes hospitalization insurance, $5,000 term life insurance and $5,000 accidental death and dismemberment insurance. Enrollment in health insurance coverage may be subject to a 90-day waiting period for employees hired on or after September 1, 2003. The 90- day health coverage waiting period does not apply to: 1. Employees enrolled in COBRA health coverage under the Texas Employee's Group Benefit Program at the time they are hired, if there is no break in coverage. 2. Enrollment in the optional coverage during the first 30 days of employment, including Tex Flex accounts. 3. Direct transfers from one agency to another (employees rehired without a break in coverage), including direct transfers from UT or Texas A&M, if there is no break in coverage. 4. An employee who has health insurance as a dependent of another Group Benefit Plan member when hired. Each employee must elect to enroll or waive this plan within the first 31 days of employment. If a Multipurpose Form is not completed, the full-time employee will be enrolled in the basic plan, and may be subject to the 90-day waiting period. Part-time employees and graduate assistants are not eligible for automatic enrollment. These employees must complete the Multipurpose Form within thirty-one (31) days of the first active duty date. An employee does not have to participate in the basic plan to apply for optional coverage(s). There is no waiting period for optional coverage. Group Hospitalization Insurance 1. A major medical health/hospitalization plan is provided, based on residency or work zip code, and/or a choice of HMO, (when available). Employees may select from hospitalization categories shown below: Coverage Category Employee Appendix 4 P-41 Employee & Child/Children Employee & Spouse Employee & Family Details on coverage and rates are available from the Benefits Office in Human Resources (HR) or at the web site: www.ers.state.tx.us. 2. Application for coverage for employees and their dependents must be made in the first 31 days of employment. Employees may change their health coverage selection at any time during the 90-day waiting period. 3. Continuation of coverage upon termination of employment is allowed by federal law with specific limitations. All separating employees will be informed of their right to continue coverage during their exit interview in Human Resources. COBRA forms will be mailed by the Employee Retirement System of Texas to the home address of the terminating employee and/or covered dependents for completion. Covered dependents also are eligible for continued coverage following certain qualifying events such as divorce, death of the employee, attainment of maximum age of coverage for children, etc. An employee or the covered dependent must notify the Benefits Office within thirty (30) days of the qualifying event date. Questions concerning procedure and benefits should be directed to the Benefits Office in Human Resources. Group Term Life Insurance 1. Optional Term Life Insurance. Coverage of up to twice the annual salary may be selected within thirty-one (31) days of employment. Evidence of insurability must be provided for Election III or Election IV. Coverage Amount: 2. Dependent Life Insurance. Coverage is available to all employees insured under the Texas Employee's Group Benefit Program. Coverage includes the spouse of the employee and each unmarried child from the age of 14 days to 25 years in the Election I - 1 times annual salary Election II - 2 times annual salary Election III - 3 times annual salary Election IV - 4 times annual salary Coverage is reduced at age 70 for active employees based on the carrier's standard reduction schedule. Monthly Premium Cost. The monthly premium cost is based on age and salary on September 1 of the current fiscal year. Appendix 4 P-42 amount of $5,000 life and $5,000 AD&D. Application for coverage must be made within thirty-one (31) days from the date of employment, or dependent's eligibility date; otherwise evidence of insurability is required. Long-Term Disability Long-term disability insurance is available to benefits-eligible employees. This benefit will pay 60 percent of the employee's monthly salary (maximum salary $10,000) after a 90-day waiting period in the event the employee is disabled because of injury or illness. The monthly benefit will be integrated with Workers Compensation, Social Security Disability, Teacher Retirement Disability, and/or any disability benefit. Maximum benefit, if integration is used, is 70 percent of insured monthly salary. Minimum benefit, if integration is used, is 10 percent of monthly salary for one year. The following age and time limits apply: Age When Disability Starts Maximum Duration of Benefits Under age 60 Age 65 Age 60, but less than age 64 60 months Age 65 - 69 Age 70 or 12 mos. (the greater) Short-Term Disability Short-term disability is available to benefits-eligible employees. This benefit will pay 66 percent of the employee's monthly salary (maximum salary $10,000) after a thirty (30) day waiting period, for up to five months in the event the employee is disabled because of injury or illness. The monthly premium cost is based on the current rate per $100 of monthly salary. Application for this coverage must be made within thirty-one (31) days of employment; otherwise evidence of insurability is required during summer enrollment. Accidental Death and Dismemberment Benefits Benefits eligible employees have the option of participating in the AD&D program. This coverage is available starting at $10,000 in increments of $5,000 up to $200,000. After age 70, minimums and maximums are reduced. Double coverage of dependent children will be allowed, if both parents are Group Benefit Plan employees. The monthly premium is based on current rate per $1,000 of coverage. Application for this coverage must be made within thirty-one (31) days of employment or could be added during the summer enrollment period. Dental Insurance Appendix 4 P-43 Benefits-eligible employees may elect to participate in either of the two group dental insurance programs. If application for coverage is not made within thirty-one (31) days of employment, dental plan benefits cannot be acquired until the beginning of the next plan year and enrollment forms must be completed during the summer enrollment period. Cancer Care Benefits eligible employees may elect to participate in cancer-care coverage. Employees should contact the insurance company representative to make an application. Long Term Care A long term care plan is offered by Employees Retirement System of Texas to active employees and their families through CNA Insurance. The active employee may enroll at the time of employment (or within 31 days), without evidence of insurability. However, any family members must go through evidence of insurability to enroll in the plan. For information, or to sign up, go to www.ers.state.tx.us or call CNA at (877) 895-6762. Retiree Insurance Coverage University employees may continue their health insurance coverage providing they have 10 or more years of creditable service, have been covered under the Texas Employee's Group Benefit Program, for at least three years prior to September 1, 2001, or 10 years, after September 1, 2001, and meet the criteria for retirement benefits. Beginning September 1, 2003, the qualification for retiree insurance is age 65, or age plus years of service equals 80. Those who become totally disabled are entitled to participate in retiree insurance coverage, if they meet the criteria (age 65, or age plus years of service equals 80). The state will continue to fund the amount funded prior to retirement toward retiree and dependent coverage. A thirty-one- (31) day enrollment period is provided for persons retiring or qualifying for retiree insurance coverage. If employed at the time of retirement, and eligible for insurance benefits, there will be no waiting period for enrollment in the health plan. However, if the retiring member is not in an active status at the time of reaching eligibility for retiree insurance, (age 65 or age plus years of service equal to 80), there will be a ninety-day (90) waiting period for participation in the health plan. Complete information will be made available to all qualified retirees by Human Resources prior to their date of retirement. Social Security Appendix 4 P-44 All employees of the university are covered by the Federal Insurance Contribution Act (FICA). Currently, the employee contributions are broken down as follows: 6.20 4.20 percent % of base salary of $106,800 for in 2009 2010 for Old Age and Survivor's and Disability Insurance (OASDI); 1.45 percent % of base salary for Medicare (MQFE). This information is based on the Year 2009 2010 rates and limits. Flexible Benefit Plan Benefits eligible employees may participate in the Flexible Benefit Plan established in accordance with Section 125 of the Internal Revenue Code. The plan permits employees to pay for certain eligible expenses with pre-tax money. Through this plan, participants are automatically enrolled in Redirection of Insurance Premiums. Allowable insurance premiums will be paid with pre-tax money, with the exception of Short-Term Disability, Long-Term Disability and Dependent Life. T